Collega Capital Management, S.R.L. is a limited liability company (Sociedad de Responsabilidad Limitada),
registered under the laws and regulations of the Dominican Republic. The firm has existed since January
2005 as ESI Financial Consulting, until March 2011 when it changed its name to Collega Capital
Management. It became registered with the U.S. Securities and Exchange Commission (SEC) on May 2012.
Its founder and main managing partner, Luis A. Veras, CFA, has over fifteen years of experience in global
financial markets. As of March 30, 2024, the firm had $86,000,000 of assets under management, of which
$5,800,000 are managed on a discretionary basis and $80,200,000 are managed on a non‐discretionary
basis. This value excludes approximately $70,000,000 of assets in real estate and private business
investments, for which the firm provides investment advice, but are not considered regulatory Assets
Under Management (UAM) according to ADV Part 1 instructions.
Collega Capital Management provides financial advisory, consulting, and investment management
services, along with multi‐generational wealth planning. Collectively, these services are offered as a
Wealth Management package. In addition, the firm may provide non‐investment consulting and advisory
services related to corporate finance, project planning, and banking.
The services provided are tailored for each client, and are dependent on an Investment Policy Statement
(IPS), which is developed by the firm based on its evaluation of the client's return objectives, risk tolerance,
time horizon, liquidity needs, legal and tax situation, as well as any unique circumstances that may warrant
special attention. The IPS is built based on information provided by the client and by the client's other
service providers (e.g. attorneys, accountants, other advisors) as instructed by the client. Collega Capital
Management is expressly authorized to rely on this information. Clients are advised that it remains their
responsibility to promptly notify the firm if there is ever any change in their financial situation or
investment objectives for the purpose of reviewing, evaluating, or revising Collega's previous
recommendations and/or services. The client may impose restrictions on investing in certain securities or
types of securities. The client retains absolute discretion over all investment decisions, is free to accept or
reject any of Collega's recommendations, and is capable of overriding Collega's decisions, even on those
funds that are managed on a discretionary basis by the firm.