Ricardo F. Nieto

ARAGON CAPITAL LLC

Fort Lauderdale, FL 33301

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CRD#: 5830882

Professional summary

Ricardo Franco Nieto is a registered financial advisor currently at ARAGON CAPITAL LLC located in Fort Lauderdale, Florida.

Ricardo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Ricardo has worked at 3 firms and has passed the Series 66, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Ricardo Franco Nieto is the owner and managing member of Aragon Properties LLC that purchases real estate properties. 5% of his yearly compensation is derived from this business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Franco Nieto'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

March 28, 2013 - Present

ARAGON CAPITAL LLC

Office #1: 101 Ne 3rd Ave Suite 1500, Fort Lauderdale, FL 33301

RIA

CRD#: 166958

Fort Lauderdale, FL

Past

December 11, 2013 - April 21, 2014

LEVELX CAPITAL LLC

CRD#: 117028

FT LAUDERDALE, FL

Past

April 12, 2011 - February 14, 2013

MORGAN STANLEY

RIA

CRD#: 149777

MIAMI, FL

Past

March 10, 2011 - February 14, 2013

MORGAN STANLEY

CRD#: 149777

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".

ARAGON CAPITAL LLC

CRD#: 166958 / SEC#: 801-121982

RIA

Registered Investment Advisory firm - (7/30/2021 Approved)

Florida

Registered Investment Advisory firm - (8/12/2021 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
(3/28/2013)

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 66

Date: 4/8/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 3

Date: 11/4/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/9/2011

General Securities Representative Examination

Current Firm

ARAGON CAPITAL LLC

CRD#: 166958 / SEC#: 801-121982

RIA

Registered Investment Advisory firm - (7/30/2021 Approved)

Florida

Registered Investment Advisory firm - (8/12/2021 Terminated)

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Contact information

Main Address

101 Ne 3rd Ave Suite 1500, Fort Lauderdale, FL 33301

Mailing Address

Phone number

(786) 529-6540

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (9/23/2025)

ADV 3 - FORM CRS (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,066
AUM (Assets Under Management)	$ 285,018,221

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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Ricardo F. Nieto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Franco Nieto's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARAGON CAPITAL LLC

LEVELX CAPITAL LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

ARAGON CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/8/2011

Series 3

Date: 11/4/2011

Series 7

Date: 3/9/2011

Current Firm

ARAGON CAPITAL LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAGON CAPITAL LLC

TRUST BUT VERIFY

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