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Joaquin Nmn Frances

BOREAL CAPITAL MANAGEMENT LLC·MIAMI, Florida
SIE, Series 4, Series 7, Series 24, Series 63, Series 65, Series 99TOClean recordBOREAL CAPITAL MANAGEMENT LLC
1450 BRICKELL AVENUE, MIAMI, FL 33131CRD# 4551274Firm CRD# 112221

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Joaquin Nmn Frances · MIAMI, FL
Registration
CRD #4551274 · BOREAL CAPITAL MANAGEMENT LLC
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 4
Series 7
Series 24
Series 63
Series 65
Series 99TO
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
BOREAL CAPITAL MANAGEMENT LLC
CRD 112221 · SEC 801-57604
AUM
$1.4B
Regulatory assets under management
Employees
44
800 client accounts
Services offered by BOREAL CAPITAL MANAGEMENT LLC
Per Form ADV
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Client types served by the firm
Per Form ADV
Individuals
Pension & Retirement Plans
View all advisors at BOREAL CAPITAL MANAGEMENT LLC →
Introduction

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Frequently Asked Questions

What services does Joaquin Nmn Frances offer?
Joaquin Nmn Frances specializes in Investment Management, Retirement Planning, Wealth Management. Contact their office in MIAMI, Florida for a consultation.
What are Joaquin Nmn Frances's credentials?
Joaquin Nmn Frances is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Joaquin Nmn Frances located?
Joaquin Nmn Frances is based in MIAMI, Florida, working with BOREAL CAPITAL MANAGEMENT LLC. Their office serves clients in the MIAMI metropolitan area and surrounding communities.
How does Joaquin Nmn Frances charge for services?
Joaquin Nmn Frances's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is BOREAL CAPITAL MANAGEMENT LLC?
BOREAL CAPITAL MANAGEMENT LLC has approximately 44 employees and manages $1.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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