Diego Castillo Olea

BOREAL CAPITAL MANAGEMENT LLC

Harrison, NY

Some features on this profile are disabled

CRD#: 4973864

Professional summary

Diego Castillo Olea, who also goes by Diego Castillo, is a registered financial advisor currently at BOREAL CAPITAL MANAGEMENT LLC located in Harrison, New York and BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.

Diego is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Diego has worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diego Castillo

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.

1) Jaguar Ventures II, LP/ / Arquimedes 15 - 202/ Mexico City/11580 DF /Mexico/ Country of incorporation?: Canada/Investment Fund or Hedge Fund/Jaguar Ventures Fund II is a venture capital fund/ Financial (Consumer & Investment Services) / Fully passive (as limited partner)/ Investment in company?: Yes, 4.5% / Partner / Start Date 6/29/2020 /// 2) Kite LLC / 97 Main Street, Suite E-202,EdwardsCOUnited States81632 / Ownership of a second home / Real Estate / No active involvement / Proprietor / owner / Start Date: 3/4/2022 /// 3) NAME OF OTHER BUSINESS: Wollef III, LP / INVESTMENT RELATED?: Yes / ADDRESS: Arquimedes 15 - 202/ NATURE OF THE BUSINESS: Financial (Consumer & Investment Services) / POSITION: Partner/ DUTIES: Wollef (formerly Jaguar Ventures) is a venture capital firm. Wollef III is a venture capital fund. Fully passive (as limited partner) / START DATE: 08/17/2021/ HOURS DEVOTED TO BUSINESS: NA 4) Mountainside Homes, LLC / Company / Owning and developing the Sanders Brook parcel from South Face Village at Okemo Development Company, LLC / Partner / No active involvement - the other partner is the Managing Partner

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diego Castillo Olea'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

November 3, 2025 - Present

BOREAL CAPITAL MANAGEMENT LLC

RIA

CRD#: 112221

Harrison, NY

Current

June 17, 2024 - Present

BOREAL CAPITAL SECURITIES LLC

Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131Office #2: 1450 Brickell Avenue Suite 2900, Miami, FL 33131

CRD#: 158599

Miami, FL

Past

December 9, 2015 - May 21, 2024

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CORAL GABLES, FL

Past

December 9, 2015 - May 21, 2024

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CORAL GABLES, FL

Past

August 7, 2014 - December 21, 2015

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

NEW YORK, NY

Past

April 7, 2014 - December 21, 2015

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

August 20, 2010 - April 9, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 14, 2008 - July 16, 2010

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

October 9, 2006 - February 14, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, 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".

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.

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

Florida
(6/17/2024)

IAR

New York
(11/3/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/6/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/24/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 10/14/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/7/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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

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

1450 Brickell Avenue Suite 2900, Miami, FL 33131

Mailing Address

Phone number

(305) 459-5400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BOREAL CAPITAL MANAGEMENT - FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	719
AUM (Assets Under Management)	$ 1,839,898,461

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Diego Castillo Olea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diego Castillo Olea's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOREAL CAPITAL SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

J.P. MORGAN SECURITIES LLC

GOLDMAN SACHS & CO. LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

BOREAL CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/6/2014

Series 63

Date: 10/27/2006

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 10/24/2006

Series 3

Date: 10/14/2006

Series 7

Date: 10/7/2006

FINRA

Current Firm

BOREAL CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BOREAL CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors