Ricardo C. De La Serna

ALTI WEALTH MANAGEMENT (US INTERNATIONAL)

CORAL GABLES, FL 33134

Some features on this profile are disabled

CRD#: 4659462

Professional summary

Ricardo Cayetano De La Serna, who also goes by Ricardo De La Serna, is a registered financial advisor currently at ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC. located in Coral Gables, Florida.

Ricardo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Ricardo has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ricardo De La Serna

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Cayetano De La Serna'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

June 16, 2010 - Present

ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.

Office #1: 2811 Ponce De Leon Blvd. Suite 520, Coral Gables, FL 33134

RIA

CRD#: 152104

CORAL GABLES, FL

Past

March 4, 2020 - April 22, 2021

ALVARIUM INVESTMENT MANAGERS (US), LLC

RIA

CRD#: 285731

MIAMI, FL

Past

April 14, 2004 - June 9, 2010

GUGGENHEIM INVESTMENT ADVISORS, LLC

RIA

CRD#: 108263

MIAMI, FL

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".

ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.

CRD#: 152104 / SEC#: 801-70809

RIA

Registered Investment Advisory firm - (12/4/2009 Approved)

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
(6/16/2010)

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: 4/3/2004

Uniform Investment Adviser Law Examination

Current Firm

ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.

CRD#: 152104 / SEC#: 801-70809

RIA

Registered Investment Advisory firm - (12/4/2009 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2811 Ponce De Leon Blvd. Suite 520, Coral Gables, FL 33134

Mailing Address

Phone number

(305) 373-8033

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC. ADV PART 2A BROCHURE (7/29/2025)

Regulatory assets under management

Total Number of Accounts	37
AUM (Assets Under Management)	$ 670,418,217

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.

Similar Advisors

Noah Alweiss

MORGAN STANLEY

IAR

Miami, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ricardo C. De La Serna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Cayetano De La Serna's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.

ALVARIUM INVESTMENT MANAGERS (US), LLC

GUGGENHEIM INVESTMENT ADVISORS, LLC

Primary Firm SEC Registration

ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/3/2004

Current Firm

ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.

TRUST BUT VERIFY

Similar Advisors