Amerant Investments, Inc.
- Regulatory AUM
- $782M
- Discretionary
- $482M
- Clients
- 1,297
- Avg AUM / client
- $603K
- Accounts
- 1,296
- Employees
- 35
AUM over time
Annual snapshots from Form ADV filings · as of Apr 22, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 841 | $139M | 17.8% |
| High net worth individuals | 143 | $268M | 34.3% |
| Pooled investment vehicles (non-investment companies) | 1 | $26.8M | 3.43% |
| Charitable organizations | 13 | $6.6M | 0.85% |
| Corporations and other businesses | 299 | $341M | 43.6% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Trinity Christian Academy 403(b) Plan Trinity Christian Academy | 2024 | |
| Trinity Christian Academy Employer Funded Retirement Plan Trinity Christian Academy | 2024 | |
| Sunshine Developmental School, Inc 401(k) Plan Sunshine Developmental School, Inc | 2024 | |
| Edg, Inc. Employees Savings Trust Edg, Inc. | 2024 | |
| Linestar Integrity Services, Llc 401 (K) Plan Linestar Integrity Services, Llc | 2024 | |
| Mtg 401(k) Profit Sharing Plan And Trust Mission Technology Group (Mtg) | 2024 | |
| The Atlantic Tractor, Llc 401(k) Plan & Trust Atlantic Tractor, Llc | 2024 | |
| Icp, Inc. 401(k) Retirement Savings Plan Icp, Inc. | 2024 | |
| Sid Dillon 401(k) Plan Sid Dillon Chevrolet Fremont, Inc. | 2024 | |
| Pangiam Holdings, Llc Retirement Plan Pangiam Holdings, Llc | 2024 |
People (29)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Capriles, Alberto Manuel | Director | May 2018 (8y) | Less than 5% | |
| Iafigliola, Carlos | Director | Aug 2020 (6y) | Less than 5% | |
| Guerrero, Sergio Emiliano Mr. | Coo & Finop | Oct 2020 (6y) | Less than 5% | |
| Restrepo, Jose Vicente | Cco | Apr 2022 (4y) | Less than 5% | |
| Levine, Howard A | Director | Aug 2022 (4y) | Less than 5% | |
| Garganta, Andres Jose | Director | Jan 2023 (4y) | Less than 5% | |
| Calderon Yepez, Sharymar Egllee | Director | Aug 2023 (3y) | Less than 5% | |
| Emeris Del Valle Lucas | Branch Manager | Oct 2023 (3y) | Less than 5% | |
| Anabel Ferreiro Lopez | Registered representative | Oct 2010 (16y) | ||
| Gregory Pita | Registered representative | Jun 2014 (12y) | ||
| Patricia Helena Leon Ponte | Registered representative | May 2015 (11y) | ||
| Gilberto Enrique Paez | Registered representative | Jan 2018 (9y) | ||
| Sebastian Rodrigo Gomez | Registered representative | Dec 2021 (5y) | ||
| Daisy Miriam De La Torre Montoya | Registered representative | Jan 2022 (5y) | ||
| Carlos Daniel Castro Oliveros | Registered representative | Feb 2022 (4y) | ||
| Baylor Ann Lancaster Samuel | Registered representative | Nov 2022 (4y) | ||
| Daniel Jason Segal | Registered representative | Jan 2023 (4y) | ||
| Juan Camilo Hernandez Hidrobo | Registered representative | Apr 2023 (3y) | ||
| Jonathan Sauce | Registered representative | Apr 2024 (2y) | ||
| Denise Anne Negron | Registered representative | CFP | Sep 2024 (2y) | |
| Luis Alonso Hernandez Guerrero | Registered representative | Jan 2025 (2y) | ||
| Ron Yosef Eisner | Registered representative | May 2025 (1y) | ||
| Diego Alfonso Abreu | Registered representative | Aug 2025 (1y) | ||
| Ian P Dubugras | Registered representative | Dec 2025 (1y) | ||
| Roger Bosch | Registered representative | Dec 2025 (1y) | ||
| Breno Sily Vasconcellos | Registered representative | Dec 2025 (1y) | ||
| Gladys Milagros Lopez | Registered representative | Dec 2025 (1y) | ||
| Diego Garcia Devillalobosadames | Registered representative | Mar 2026 (0y) | ||
| Ricardo Andres Sucre | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Amerant Bank, N.A. | Shareholder | Jul 2001 | A | 75% or more |
| Amerant Bancorp Inc | Owner | Aug 2022 | B | ≈ 56.25% – 100% via Amerant Bank, N.A. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Amerant Bancorp Inc: 75% – 100% of Amerant Bank, N.A. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (10)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Trinity Christian Academy 403(b) Plan | Trinity Christian Academy | 328 | $15.5M | 08/01/2024 |
| Trinity Christian Academy Employer Funded Retirement Plan | Trinity Christian Academy | 214 | $20.0M | 08/01/2024 |
| Sunshine Developmental School, Inc 401(k) Plan | Sunshine Developmental School, Inc | 146 | $17.2M | 07/01/2024 |
| Edg, Inc. Employees Savings Trust | Edg, Inc. | 423 | $123M | 01/01/2024 |
| Linestar Integrity Services, Llc 401 (K) Plan | Linestar Integrity Services, Llc | 355 | $9.4M | 01/01/2024 |
| Mtg 401(k) Profit Sharing Plan And Trust | Mission Technology Group (Mtg) | 250 | $78.1M | 01/01/2024 |
| The Atlantic Tractor, Llc 401(k) Plan & Trust | Atlantic Tractor, Llc | 372 | $28.9M | 01/01/2024 |
| Icp, Inc. 401(k) Retirement Savings Plan | Icp, Inc. | 142 | $10.6M | 01/01/2024 |
| Sid Dillon 401(k) Plan | Sid Dillon Chevrolet Fremont, Inc. | 672 | $109M | 01/01/2024 |
| Pangiam Holdings, Llc Retirement Plan | Pangiam Holdings, Llc | 0 | $0 | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/22/2026 | 1.18 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE FIRM FAILED TO REPORT INFORMATION REGARDING PURCHASE AND SALE TRANSACTIONS EFFECTED IN ELIGIBLE SECURITIES TO THE TRADE REPORTING AND COMPLIANCE ENGINE ("TRACE") IN THE MANNER PRESCRIBED BY FINRA RULES, FOR 116 S1 TRANSACTIONS, WHICH REQUIRE THE FIRM TO REPORT INFORMATION ABOUT TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES WITHIN 15 MINUTES OF TRADE EXECUTION TIME. FINRA ALSO ALLEGED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS CONCERNING TRANSACTION REPORTING OF TRACE-ELIGIBLE SECURITIES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A CENSURE AND FINE OF $20,000, AND AN UNDERTAKING TO REPORT TO TRACE THE TRANSACTIONS THAT WERE NOT PREVIOUSLY REPORTED.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Pershing $781M (100% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 22, 2026.
View current Form ADV (SEC/IAPD) ↗