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Ricardo Cayetano De La Serna

ALVARIUM INVESTMENT ADVISORS (US), INC.·MIAMI, Florida
Series 65Clean record22 years registeredALVARIUM INVESTMENT ADVISORS (US), INC.
1111 BRICKELL AVENUE, MIAMI, FL 33131CRD# 4659462Firm CRD# 152104

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Ricardo Cayetano De La Serna · MIAMI, FL
Registration
CRD #4659462 · ALVARIUM INVESTMENT ADVISORS (US), INC. · 22 years registered
Brand Profile
Not yet started
01

Career History

ALTI WEALTH MANAGEMENT (US INTERNATIONAL), INC.
Jun 2010 – present
ALVARIUM INVESTMENT MANAGERS (US), LLC
Mar 2020 – Apr 2021
MIAMI, FL
GUGGENHEIM INVESTMENT ADVISORS, LLC
Apr 2004 – Jun 2010
MIAMI, FL
02

Registrations & Exams

FINRA examinations passed
Series 65
Registration record
First registered · April 14, 2004
Years registered · 22
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
ALVARIUM INVESTMENT ADVISORS (US), INC.
CRD 152104 · SEC 801-70809
AUM
$840M
Regulatory assets under management
Employees
4
39 client accounts
Services offered by ALVARIUM INVESTMENT ADVISORS (US), INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at ALVARIUM INVESTMENT ADVISORS (US), INC. →
Introduction

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05

Frequently Asked Questions

What services does Ricardo Cayetano De La Serna offer?
Ricardo Cayetano De La Serna specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in MIAMI, Florida for a consultation.
What are Ricardo Cayetano De La Serna's credentials?
Ricardo Cayetano De La Serna is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Ricardo Cayetano De La Serna located?
Ricardo Cayetano De La Serna is based in MIAMI, Florida, working with ALVARIUM INVESTMENT ADVISORS (US), INC.. Their office serves clients in the MIAMI metropolitan area and surrounding communities.
How does Ricardo Cayetano De La Serna charge for services?
Ricardo Cayetano De La Serna's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is ALVARIUM INVESTMENT ADVISORS (US), INC.?
ALVARIUM INVESTMENT ADVISORS (US), INC. has approximately 4 employees and manages $840M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at ALVARIUM INVESTMENT ADVISORS (US), INC.

Kosta P Velis
MIAMI, FL
CFP
Jamie Ivan Grossman
MIAMI, FL
Juan Ball
MIAMI, FL

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