BOREAL CAPITAL MANAGEMENT LLC
Latest filing: Apr 08, 2025 (62 days ago)
AUM
$1,839,898,461
34% change vs. 1 year ago
-34% change vs. 3 years ago
43% change vs. 5 years ago
505% change vs. 10 years ago
Employee Count
44
0% change vs. 1 year ago
-2% change vs. 3 years ago
76% change vs. 5 years ago
91% change vs. 10 years ago
Main Office
MIAMI, FL
1450 BRICKELL AVENUE, MIAMI, FL, UNITED STATES, 33131
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.6 |
| Non-Discretionary | $1.3 |
| Total | $1.8 |
| Client | AUM |
|---|---|
| Retail | $1.2 |
| Pooled | $0.0 |
| Institutional | $0.6 |
| Total | $1.8 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 272 | $0.1 |
| Average Individual AUM | $296,625 | |
| HNW | 178 | $1.1 |
| Average HNW AUM | $6,390,094 | |
| Retail Total | 450 | $1.2 |
| Average Retail AUM | $2,706,930 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| PERSHING LLC | JERSEY CITY-NJ-USA | $0.6 |
| MORGAN STANLEY & CO. LLC | NEW YORK-NY-USA | $0.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.8 |
| Retail SMA AUM | $1.2 |
| Institutional SMA AUM | $0.6 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 32% | $0.6 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 7% | $0.1 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 36% | $0.6 |
| HY Credit | 0% | $0.0 |
| Derivatives | 1% | $0.0 |
| Investment Companies | 1% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 8% | $0.1 |
| Other | 15% | $0.3 |
| Total | 100% | $1.8 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| BOREAL CAPITAL MANAGEMENT AG | $0.0 | - | |
| MORA WEALTH MANAGEMENT ESPAÑA, AV, SAU | $0.0 | - | |
| BOREAL CAPITAL SECURITIES LLC | $0.0 | broker-dealer | 158599 |
| MORA ASSEGURANCES SAU | $0.0 | - | |
| MORA GESTIÓ D'ACTIUS SAU | $0.0 | - | |
| MORA BANC GRUP, SA | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
Representatives
25 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| CARL EDLUND | MIAMI | FL | S66|2011-03-30 | ||||||
| JAIME ORTIZ DE PILAR | MIAMI | FL | S63|2013-10-28|S65|2018-12-21 | ||||||
| ANTONIO GOMEZ REAL | MIAMI | FL | S63|2011-08-17|S65|2014-12-23 | ||||||
| FERNANDO DE FRUTOS GONZALEZ | MIAMI | FL | CHARTERED FINANCIAL ANALYST | ||||||
| JUAN GUERRA | MIAMI | FL | S66|2022-04-08 | CHARTERED FINANCIAL ANALYST | |||||
| DANIEL RICHMOND | MIAMI | FL | S66|2003-12-03 | ||||||
| LUIS DELGADO | MIAMI | FL | S66|2005-11-03 | ||||||
| ROBERTO GARCIA | MIAMI | FL | S63|1988-10-20|S65|2006-01-11 | ||||||
| SERGIO BISTER PESSAJ | MIAMI | FL | S63|2004-10-08|S65|2015-01-23 | ||||||
| ALEXANDRO AMPUDIA TOMMASI | MIAMI | FL | S66|2008-09-25 | ||||||
| RENATA BENGHIRA-LIMA | MIAMI | FL | S66|2019-04-15 | ||||||
| ANTONIO OLIVEIRA MOURA | MIAMI | FL | S66|2011-04-25 | ||||||
| MARCO MORENO | MIAMI | FL | S66|2001-03-14|S65|2014-01-30 | ||||||
| BRUNO GOMEZ ACEBO BORBON | MIAMI | FL | S66|2022-02-23 | ||||||
| ROGER BOSCH | MIAMI | FL | S66|2024-02-16 | ||||||
| SANTIAGO COPELLO | MIAMI | FL | S63|1999-02-16|S65|2018-11-03 | ||||||
| RAFAEL MORENO | MIAMI | FL | S66|2001-06-13 | ||||||
| DANIEL EULATE | MIAMI | FL | S65|2013-09-24 | ||||||
| LORENA BERTHE-MARTINEZ | MIAMI | FL | S63|2001-07-12|S66|2007-06-29 | ||||||
| RUBEN HERNANDEZ | MIAMI | FL | S63|1994-10-05|S65|2022-04-26 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $1.8 | $0.0 | 0% | 44 | 0 | 0% |
| 2025-04-21 | $1.8 | $0.0 | 0% | 44 | 0 | 0% |
| 2024-04-02 | $1.4 | $0.5 | 34% | 44 | 0 | 0% |
| 2023-04-04 | $1.3 | $0.6 | 43% | 44 | 0 | 0% |
| 2022-04-01 | $2.8 | -$0.9 | -34% | 45 | -1 | -2% |
| 2021-04-05 | $2.3 | -$0.4 | -19% | 42 | 2 | 5% |
| 2020-04-01 | $1.3 | $0.6 | 43% | 25 | 19 | 76% |
| 2019-04-01 | $1.0 | $0.8 | 83% | 21 | 23 | 110% |
| 2018-04-02 | $0.8 | $1.1 | 138% | 20 | 24 | 120% |
| 2017-04-01 | $0.6 | $1.3 | 227% | 25 | 19 | 76% |
| 2016-04-01 | $0.5 | $1.3 | 241% | 25 | 19 | 76% |
| 2015-04-01 | $0.3 | $1.5 | 505% | 23 | 21 | 91% |
| 2014-04-01 | $0.2 | $1.7 | 1118% | 20 | 24 | 120% |
| 2013-04-01 | $0.1 | $1.7 | 1438% | 12 | 32 | 267% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| FL, AZ-03/09/2015, CA-05/19/2015, CO-01/26/2015, CT-05/19/2015, DC-05/19/2015, DE-01/26/2015, FL-06/30/2003, GA-01/26/2015, IL-05/20/2015, KS-05/19/2015, MA-05/19/2015, MD-05/19/2015, ME-03/25/2013, MI-05/19/2015, MO-05/19/2015, NC-01/26/2015, NH-05/19/2015, NJ-05/29/2015, NY-05/19/2015, PA-05/19/2015, SC-01/26/2015, TX-05/19/2015, VT-01/26/2015, WI-01/26/2015 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
|
REP BROKER DEALER COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV