Oriental Financial Services LLC
Registered investment adviser · San Juan, PR · CRD #29753
Form ADV data as of 2026-09-01Regulatory assets
$419.6 million
Total accounts
468
Employees
28
Disclosure events
5
Firm details
- Website: http://www.orientalbank.com
- Telephone: 787-474-1993
- SEC file number: 801-88203
- Most recent Form ADV filing: 2026-03-30
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 1 disclosure question answered Yes, covering 5 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $0 |
| Non-discretionary regulatory assets under management | $419.6 million |
| Total regulatory assets under management | $419.6 million |
| Discretionary accounts | 0 |
| Non-discretionary accounts | 468 |
| Total accounts | 468 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 28 |
| Employees performing investment advisory functions (including research) | 11 |
| Employees who are registered representatives of a broker-dealer | 18 |
| Employees registered as investment adviser representatives with a state | 11 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 11 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 347 | $74.1 million |
| High net worth individuals | 37 | $125.1 million |
| Pension and profit sharing plans (not the participants or government plans) | 1 | $503,489 |
| Charitable organizations | 1 | $22,629 |
| State or municipal government entities (including government pension plans) | 2 | $24.1 million |
| Corporations or other businesses not listed above | 80 | $195.7 million |