LAFISE SECURITIES CORPORATION
Adviser information for LAFISE SECURITIES CORPORATION last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6 | $736.0M |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $736.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $689.0M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $47.0M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 100 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerRegistered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-129796 |
|---|---|
| SEC ERA File Number | 801-129796 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 115624 |
| Legal Entity Identifier | 2549003XMG0481WGKU14 |
Principal Office
2340 S DIXIE HIGHWAYMIAMI
FL
United States
Monday - Friday, 9:00 AM - 6:00 PM
Tel: 305-374-6001, Fax: 786-999-8801
Chief Compliance Officer
PETER CLEVEN
2340 S DIXIE HIGHWAY
MIAMI
FL
United States
Tel:
305-374-6001
Fax:
786-999-8801
P******@*******************M
(Full email address available in API data)
Regulatory Contact
JOSE PABLO NAVARRO
CEO
2340 S DIXIE HIGHWAY
MIAMI
FL
United States
Tel:
305-374-6001
Fax:
786-999-8801
P*******@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ZAMORA, ROBERT JOSEPH SR | Individual | – | SHAREHOLDER | 06/2001 | 50-75% |
| ZAMORA, MARIA JOSEFINA | Individual | – | SHAREHOLDER | 06/2001 | 10-25% |
| ERANA, MARCELA ZAMORA | Individual | – | SHAREHOLDER | 12/2011 | 10-25% |
| FRANCHY, LUISA | Individual | – | FINOP, PFO, POO | 09/2018 | < 5% |
| NAVARRO, JOSE PABLO | Individual | – | CEO | 09/2020 | < 5% |
| CLEVEN, PETER DAMION | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2021 | < 5% |