Broker-dealer firm · SAN Juan, PR
Oriental Financial Services LLC
SEC-registered investment adviser · CRD 29753 · SEC 801-88203
At a glance
Oriental Financial Services LLC is an SEC-registered investment adviser based in SAN Juan, PR, with $420 million in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is corporations or other businesses, and it reports 384 individual clients. By Form ADV it is a broker-dealer firm, ranked 219th of 391 broker-dealer firms and 8,571st of 17,210 SEC-registered advisers by assets.
Main office 787-474-1993orientalbank.comAs filed on Form ADV
- Regulatory AUM
- $420M
- Rank among broker-dealer firms
- #219 of 391
- Rank among all SEC RIAs
- #8,571 of 17,210
- Rank in PR
- #30 of 49
- Individual clients
- 384
- High-net-worth clients
- 37
- Accounts
- 468
- Discretionary
- 0% of AUM
- Employees
- 28
- Advisory staff
- 11
- Offices
- 4
Owners and executives on its Form ADV
- Jose Rafael Fernandez MartinezOptions Principal, and Director
- Glenda L. Munoz GalarzaFinancial and Operations Manager
- Alejandro Miguel Pascual NavarroPresident & Sales Manager
- Mariela TorresChief Compliance Officer
- Ramon Arturo RosadoDirector
- Mari Evelyn Rodriguez MimosoDirector
Custody and brokerage
Broker-dealer
Hybrid RIA
Oriental Financial Services LLC is a hybrid RIA: 18 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Corporations or other businesses | 80 | $196M | 47% |
| High-net-worth individuals | 37 | $125M | 30% |
| Individuals | 347 | $74M | 18% |
| State or municipal government entities | 2 | $24M | 6% |
| Pension and profit sharing plans | 1 | $1M | <1% |
| Charitable organizations | 1 | $0M | <1% |
Disciplinary disclosures
Oriental Financial Services LLC answers yes to 5 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Other services
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗orientalbank.com ↗
AtlasMembers
The full record on Oriental Financial Services LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 150 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Oriental Financial Services LLC manage?
Oriental Financial Services LLC reports $420 million in regulatory assets under management across 468 accounts, on its Form ADV filed March 30, 2026.
What kind of firm is Oriental Financial Services LLC?
Oriental Financial Services LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Oriental Financial Services LLC’s clients?
By assets, its largest client types are corporations or other businesses ($196 million, 80 clients); high-net-worth individuals ($125 million, 37 clients); individuals ($74 million, 347 clients).
Does Oriental Financial Services LLC have any disciplinary history?
Oriental Financial Services LLC answers yes to 5 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Oriental Financial Services LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →