DR
Daniel J. Richmond
BOREAL CAPITAL MANAGEMENT LLC
Miami, FL 33131
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CRD#: 4704875
DR
Professional summary
Daniel Jorge Richmond, who also goes by Daniel Richmond, is a registered financial advisor currently at BOREAL CAPITAL MANAGEMENT LLC located in Miami, Florida and RICHMOND CAPITAL located in Miami, Florida.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Daniel has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Richmond
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.
DUALLY ASSOCIATED WITH AFFILIATE RIA MORA WEALTH MANAGEMENT (IARD NO. 112221) TIME SPENT PROPORTIONALLY BETWEEN BROKER-DEALER AND RIA. START DATE: 07/2015. Miller Eaton LLC (formerly RICHCOTT REALTY), 2333 BRICKELL AVE #2010. MIAMI, FL 33129. REAL ESTATE BROKERAGE. COMPENSATION BASED ON COMMISSIONS. APPROXIMATELY 5 HOURS SPENT PER WEEK DURING NON TRADING HOURS. Mr. Richmond is the sole owner of RICHMOND CAPITAL ADVISORS LLC (incorporated April 10, 2023) located at 2333 BRICKELL AVE STE D1, MIAMI FL 33129. RCA is an investment advisory firm registered with the U.S. Securities & Exchange Commission (SEC) and appears in the Investment Adviser Public Disclosure (IAPD) database under CRD#327060 / SEC #801-128302. RCA is a Robo-Advisor who custodies with Interactive Brokers and caters to clients with small balances (less than $100K). Mr. Richmonds dedicates 10 hours a week to RCA and will receive compensation depending on the amount of assets under management (based on a fixed percentage). Investment decisions for these clients are made by pre-determined algorithims. This is an investment-related business. Mr Richmond introdues clients to the on-line platform.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Jorge Richmond's 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®
NoneExperience
Current
December 10, 2012 - Present
BOREAL CAPITAL MANAGEMENT LLC
Office #1: 1450 Brickell Avenue Suite 2900, Miami, FL 33131RIA
CRD#: 112221
Miami, FL
Current
July 17, 2023 - Present
RICHMOND CAPITAL
Office #1: 2333 Brickell Ave Suite D1, Miami, FL 33129RIA
CRD#: 327060
Miami, FL
Current
August 27, 2014 - Present
BOREAL CAPITAL SECURITIES LLC
Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131Office #2: 1450 Brickell Avenue Suite 2900, Miami, FL 33131BD
CRD#: 158599
Miami, FL
Past
August 25, 2009 - September 25, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
MIAMI, FL
Past
August 19, 2009 - September 25, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
MIAMI, FL
Past
July 18, 2006 - April 30, 2009
UBS INTERNATIONAL INC.
RIA
CRD#: 107726
MIAMI, FL
Past
June 29, 2006 - April 30, 2009
UBS INTERNATIONAL INC.
BD
CRD#: 107726
NEW YORK, NY
Past
March 2, 2005 - June 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
November 22, 2004 - June 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MIAMI, FL
Past
December 9, 2003 - August 13, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MIAMI, FL
Past
November 3, 2003 - August 13, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
BC
BOREAL CAPITAL MANAGEMENT LLC
BOREAL CAPITAL MANAGEMENT LLC | PRS LATAM LLC | MORA WEALTH MANAGEMENT LLC | INTRACOASTAL FAMILY OFFICE
CRD#: 112221 / SEC#: 801-57604
RIA
Registered Investment Advisory firm - (6/9/2000 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Florida(12/10/2012)
RR
Florida(2/4/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BOREAL CAPITAL MANAGEMENT LLC
BOREAL CAPITAL MANAGEMENT LLC | PRS LATAM LLC | MORA WEALTH MANAGEMENT LLC | INTRACOASTAL FAMILY OFFICE
CRD#: 112221 / SEC#: 801-57604
RIA
Registered Investment Advisory firm - (6/9/2000 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 Brickell Avenue Suite 2900, Miami, FL 33131
Mailing Address
Phone number
(305) 459-5400
Established
Firm type
Fiscal year end
# of Employees
44
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 719 |
| AUM (Assets Under Management) | $ 1,839,898,461 |
Red Flags
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Company Information
BOREAL CAPITAL MANAGEMENT LLC
CRD#: 112221Miami, FL 33131TRUST BUT VERIFY
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