Alberto Batista

IN ON CAPITAL

Miami, FL 33131

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CRD#: 2289774

Professional summary

Alberto Batista, who also goes by Alberto E Batista, Alberto Eutimio Batista, is a registered financial advisor currently at IN ON CAPITAL located in Miami, Florida.

Alberto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Alberto has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alberto E Batista | Alberto Eutimio Batista

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

AVI Group Holdings LLC is not investment related. I am the sole member of the company that is for consulting in Compliance and Insurance as of July 2017. The time devoted is 5 hours a month. International Compliance Solutions LLC. Consultant. 20 hrs per week. In On Capital LLC CCO. 10 hrs per week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alberto Batista's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 25, 2018 - Present

IN ON CAPITAL

Office #1: 777 Brickell Avenue Suite 500, Miami, FL 33131

RIA

CRD#: 290038

Miami, FL

Past

August 17, 2020 - March 3, 2021

ACTIVA CAPITAL

RIA

CRD#: 307250

MIAMI, FL

Past

November 27, 2018 - June 21, 2019

FACE CAPITAL ADVISORS

RIA

CRD#: 297316

Coral Gables, FL

Past

August 15, 2017 - October 31, 2017

HARBOR ITHAKA

RIA

CRD#: 170580

MIAMI, FL

Past

July 24, 2012 - July 5, 2017

WELCY CAPITAL ADVISORS LLC

RIA

CRD#: 154782

MIAMI, FL

Past

December 23, 1992 - February 22, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IN ON CAPITAL

IN ON CAPITAL | IN ON CAPITAL LLC | IN ON CAPITAL ADVISORS LLC

CRD#: 290038 / SEC#: 801-117554

RIA

Registered Investment Advisory firm - (10/29/2019 Approved)

Florida

Registered Investment Advisory firm - (7/1/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(5/25/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/17/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/27/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/2/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/13/1993

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/21/1992

General Securities Representative Examination

Current Firm

IN ON CAPITAL

IN ON CAPITAL | IN ON CAPITAL LLC | IN ON CAPITAL ADVISORS LLC

CRD#: 290038 / SEC#: 801-117554

RIA

Registered Investment Advisory firm - (10/29/2019 Approved)

Florida

Registered Investment Advisory firm - (7/1/2020 Terminated)

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Contact information

Main Address

777 Brickell Avenue Suite 500, Miami, FL 33131

Mailing Address

Phone number

(305) 721-2811

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IN ON CAPITAL ADV 2A 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 385,362,849

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Alberto Batista

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alberto Batista's CRS (Customer Relationship Summary).

Certified licenses

Experience

ACTIVA CAPITAL

FACE CAPITAL ADVISORS

HARBOR ITHAKA

WELCY CAPITAL ADVISORS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

IN ON CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 7/17/2012

Series 63

Date: 1/27/1993

SIE

Date: 10/2/2020

Series 3

Date: 1/13/1993

Series 7

Date: 12/21/1992

Current Firm

IN ON CAPITAL

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IN ON CAPITAL

TRUST BUT VERIFY

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