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CRD 112221
MIAMI, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| DANIEL JORGE RICHMOND | n/a | MIAMI, FL | 13 | 22 | 4 | yes |
| MARCO ANTONIO MORENO | n/a | MIAMI, FL | 12 | 25 | n/a | yes |
| Daniel Eulate | n/a | MIAMI, FL | 8 | 12 | 1 | no |
| ANTONIO GOMEZ REAL | n/a | MIAMI, FL | 8 | 15 | 1 | yes |
| JUAN MANUEL DORIA | n/a | MIAMI, FL | 8 | 25 | 3 | yes |
| ANGEL SANZ ALONSO | n/a | MIAMI, FL | Miami, FL | 7 | 10 | n/a | yes |
| ERNESTO CORDOVEZ | n/a | MIAMI, FL | 6 | 11 | n/a | yes |
| CARL HENRIK GUSTAF EDLUND | n/a | MIAMI, FL | 6 | 15 | 3 | yes |
| RENATA V BENGHIRA-LIMA | n/a | MIAMI, FL | 6 | 11 | 1 | yes |
| LUIS ANTONIO DELGADO | n/a | MIAMI, FL | 5 | 20 | 4 | yes |
| Bruno Alejandro Gomez Acebo Borbon | n/a | miami, FL | MIAMI, FL | 4 | 14 | n/a | yes |
| Fernando De Frutos Gonzalez | Chartered Financial Analyst | MIAMI, FL | 4 | 11 | n/a | yes |
| Marco Julio Fernandez Celorio | n/a | MIAMI, FL | 2 | 10 | 1 | yes |
| ROBERTO RUIZ VELEZ | n/a | MIAMI, FL | 1 | 11 | 4 | yes |
| ANTONIO OLIVEIRA MOURA | n/a | MIAMI, FL | 1 | 21 | 3 | yes |
| RAFAEL MORENO | n/a | MIAMI, FL | 1 | 25 | 2 | yes |
| ANNETTE MARIE MANON | n/a | MIAMI, FL | 1 | 28 | 3 | yes |
| SANTIAGO L COPELLO | n/a | Boca Raton, FL | MIAMI, FL | 1 | 27 | 4 | yes |
| ROBERTO FELIPE GARCIA | n/a | MIAMI, FL | 1 | 37 | 1 | yes |
| RUBEN S HERNANDEZ | n/a | MIAMI, FL | 1 | 31 | n/a | yes |
| Fernando Omar Carrera Perbuli | n/a | MIAMI, FL | Lima | 1 | 11 | n/a | yes |
| SERGIO RAUL BISTER PESSAJ | n/a | MIAMI, FL | 1 | 21 | n/a | yes |
| Fabiola Virginia Bravo Serjant | n/a | MIAMI, FL | 1 | 10 | n/a | yes |
| MANUEL SEBASTIAN SALAMANCA MEJIA | Chartered Financial Analyst | MIAMI, FL | 0 | 11 | 1 | yes |
| Juan Villalonga Tallada | n/a | MIAMI, FL | 0 | 19 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| SHIELD CAPITAL FUND SPC - GOBELA SP | Other Private Fund | $41.6M | Jun 3, 2026 | 1 | Aug 2, 2022 | reported | n/a |
| THE COMMODITY FUND | Hedge Fund | $8.5M | Feb 6, 2019 | 1 | Jan 2, 2013 | dropped | n/a |
| THE PRS GLOBAL INVESTMENT | Hedge Fund | $2.0M | Jan 2, 2013 | 8 | Jan 2, 2013 | dropped | n/a |
| THE GAMMA FUND | Hedge Fund | $20,157 | Oct 31, 2019 | 1 | Jan 2, 2013 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| FRANCES, JOAQUIN, NMN | CHIEF EXECUTIVE OFFICER/CCO/AMLCO | Na | yes | 06/2022 | Jun 3, 2026 | Jun 3, 2026 |
| MORA CAPITAL HOLDINGS USA LLC | DIRECT OWNER | E | yes | 09/2009 | Jun 3, 2026 | Jun 3, 2026 |
| BOREAL CAPITAL HOLDINGS USA LLC | DIRECT OWNER | E | yes | 09/2009 | Nov 1, 2019 | Jun 11, 2024 |
| BOTERO, PETER | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2023 | Mar 30, 2023 | Jun 11, 2024 |
| MORA BANC GRUP, SA | Owner | E | yes | 09/2009 | Jan 2, 2013 | Jun 11, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| BOREAL CAPITAL MANAGEMENT AG | n/a | n/a | n/a | N | yes | n/a |
| BOREAL CAPITAL SECURITIES LLC | n/a | n/a | n/a | N | yes | n/a |
| MORA ASSEGURANCES SAU | n/a | n/a | n/a | N | yes | n/a |
| MORA BANC GRUP, SA | n/a | n/a | n/a | Y | yes | n/a |
| MORA GESTIO D'ACTIUS SAU | n/a | n/a | n/a | N | yes | n/a |
| MORA WEALTH MANAGEMENT ESPA?A, AV, SAU | n/a | n/a | n/a | N | no | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 14, 2026 | $1.9B | $663M | 49 | 29 | 0 | 1 | n/a |
| 2024 | Apr 8, 2025 | $1.8B | $568M | 44 | 28 | 0 | 1 | n/a |
| 2023 | Mar 27, 2024 | $1.4B | $418M | 44 | 26 | 0 | 1 | $35.2M |
| 2022 | Mar 30, 2023 | $1.3B | $257M | 44 | 28 | 0 | 1 | $32.7M |
| 2021 | Mar 30, 2022 | $2.8B | $554M | 45 | 25 | 0 | n/a | n/a |
| 2020 | Mar 30, 2021 | $2.3B | $426M | 42 | 24 | 0 | n/a | n/a |
| 2019 | Mar 17, 2020 | $1.3B | $902M | 25 | 19 | 1 | n/a | n/a |
| 2018 | Mar 20, 2019 | $1.0B | $704M | 21 | 14 | 2 | 1 | $20,157 |
| 2017 | Mar 29, 2018 | $774M | $619M | 20 | 16 | 2 | 2 | $12.6M |
| 2016 | Mar 27, 2017 | $562M | $451M | 25 | 14 | n/a | 2 | $19.4M |
| 2015 | Mar 30, 2016 | $540M | $439M | 25 | 13 | n/a | 2 | $19.4M |
| 2014 | Mar 31, 2015 | $304M | $213M | 23 | 12 | n/a | 2 | $22.8M |
| 2013 | Mar 27, 2014 | $151M | $144M | 20 | 9 | n/a | 2 | $20.4M |
| 2012 | Feb 19, 2013 | $120M | $120M | 12 | 6 | n/a | 2 | $21.4M |
| 2011 | Dec 8, 2011 | $117M | $117M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 5 | 3 | 2 | 9.7% | 0 | 0 | 0 | 12 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.9B | $1.8B | 3.5% | $1.3B | 14.0% | 49 | 44 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP. | 3 | Jan 28, 2021 | Jan 2, 2025 | MIAMI, FL | Team lift out | RIA to RIA | 11.5% |
| ANDBANC ADVISORY LLC | 2 | Apr 23, 2018 | May 25, 2018 | MIAMI, FL | Team lift out | RIA to RIA | 33.3% |