Raoul Rodriguez-Walters

Employer firm

Mariner CRD 140195

$125B regulatory AUM 216 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2016 → 05/2021
  Pinnacle Advisory Group, Inc
  Miami, FL
• 05/2021 → 05/2022
  Congress Wealth Management Llc
  Miami, FL
• 05/2022 → 03/2023
  Unemployed
  Miami, FL
• 03/2023 → Present
  Mariner Wealth Advisors
  Overland Park, KS

Previous Registrations

• 2021-04-29 → 2022-05-24
  Cw Advisors, Llc
  Miami, FL
  Boston, MA
• 2017-05-26 → 2021-05-17
  Pinnacle Advisory Group, Inc.
  Miami, FL
• 2013-05-13 → 2016-07-21
  Mexico Advisor
  Portland, OR
• 2011-06-06 → 2012-12-31
  Mexico Advisor
  Portland, OR

Other Businesses

Trustee; Investment related: Yes; Trustee of ILIT since 2005; 1 hour/month; 1 hour during securities trading hours; manage trust assets within the ILIT, Crummey letters, liase with beneficiaries; tax preparation services; Conference Speaker/ Author; Not investment related, Miami, FL, start date: 5/3/2002, 4 hours per month, 0 hours during trading hours, write articles Global Financial Planning Institute ; Not investment related, Miami, FL, Board Member, Start date: 3/7/2023, 2 hours per month, .5 hours during trading hours, Give classes, help organize annual seminar, work as board member

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-02-26

Designations

• Certified Financial Planner

Other Names

• Raoul Rodriguez
• Raoul Benjamin Rodriguez
• Raoul Rodriguez-Walters