DFX Intelligence

Data Factory

RIA / WealthAdvisor20 years in industry

GERMAN RICARDO MORA

Advisor at ERNST & YOUNG INVESTMENT ADVISERS LLP

Poinciana, FL | Orlando, FL | SAN ANTONIO, TX | Davenport, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4ecb7a9a-4703-c491-972b-52eda6e1789c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Aug 7, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ERNST & YOUNG INVESTMENT ADVISERS LLP
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 2, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 2
Registered states: 2
Exams: S66
First exam: Aug 2, 2006
First registration: Aug 7, 2006
Dual registered: no
Other names: GERMAN R MORA
IAPD individual key: 5032958

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ERNST & YOUNG INVESTMENT ADVISERS LLP	No RAUM reported	Oct 31, 2023	n/a	yes	Poinciana, FL\|Orlando, FL	Current employment
GAGNI WEALTH MANAGEMENT LLC	State registered	Nov 13, 2021	n/a	yes	SAN ANTONIO, TX\|Davenport, FL	Current employment
SB ADVISORY, LLC	Independent wealth	May 17, 2021	Dec 23, 2021	no	Miami, FL\|ATLANTA, GA	Previous registration
STONEX INTERNATIONAL ADVISORS INC	Independent wealth	Jul 3, 2019	Mar 9, 2021	no	MIAMI, FL	Previous registration
MORA CAPITAL MANAGEMENT, LLC	Independent wealth	Aug 29, 2017	Jun 28, 2019	no	MIAMI, FL	Previous registration
GAGNI WEALTH MANAGEMENT LLC	State registered	Mar 14, 2017	Mar 14, 2017	no	SAN ANTONIO, TX\|MIAMI, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 29, 2016	Feb 24, 2017	no	CORAL GABLES, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 21, 2015	Dec 2, 2016	no	SAN ANTONIO, TX	Previous registration
PNC MANAGED ACCOUNT SOLUTIONS, INC.	Former SEC adviser	Jul 11, 2011	Nov 24, 2014	no	EL PASO, TX\|SAN ANTONIO, TX\|HOUSTON, TX\|HOUSTON, TX	Previous registration
CP CAPITAL SECURITIES, INC.	Former SEC adviser	Sep 14, 2007	Sep 15, 2009	no	MIAMI, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 7, 2006	May 25, 2007	no	MIAMI, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SB ADVISORY, LLC	GAGNI WEALTH MANAGEMENT LLC	Dec 23, 2021	Nov 13, 2021	-40	Firm change after gap	RIA to state RIA
STONEX INTERNATIONAL ADVISORS INC	SB ADVISORY, LLC	Mar 9, 2021	May 17, 2021	69	Firm change	RIA to RIA
MORA CAPITAL MANAGEMENT, LLC	STONEX INTERNATIONAL ADVISORS INC	Jun 28, 2019	Jul 3, 2019	5	Firm change	RIA to RIA
GAGNI WEALTH MANAGEMENT LLC	MORA CAPITAL MANAGEMENT, LLC	Mar 14, 2017	Aug 29, 2017	168	Firm change	Other
WELLS FARGO ADVISORS	GAGNI WEALTH MANAGEMENT LLC	Feb 24, 2017	Mar 14, 2017	18	Firm change	Wirehouse to state RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Dec 2, 2016	Nov 29, 2016	-3	Firm change	Wirehouse to wirehouse
PNC MANAGED ACCOUNT SOLUTIONS, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 24, 2014	Jan 21, 2015	58	Firm change	Other
CP CAPITAL SECURITIES, INC.	PNC MANAGED ACCOUNT SOLUTIONS, INC.	Sep 15, 2009	Jul 11, 2011	664	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	CP CAPITAL SECURITIES, INC.	May 25, 2007	Sep 14, 2007	112	Firm change	Other

Relationships

Registered with (10)

→ ERNST & YOUNG INVESTMENT ADVISERS LLPRegistered adviserregistration: current employment
Oct 31, 2023 to presentfactForm ADV
→ GAGNI WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Mar 14, 2017 to Mar 14, 2017factForm ADV
→ SB ADVISORY, LLCRegistered adviserregistration: previous registration
May 17, 2021 to Dec 23, 2021factForm ADV
→ STONEX INTERNATIONAL ADVISORS INCRegistered adviserregistration: previous registration
Jul 3, 2019 to Mar 9, 2021factForm ADV
→ MORA CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 29, 2017 to Jun 28, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 29, 2016 to Feb 24, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 21, 2015 to Dec 2, 2016factForm ADV
→ PNC MANAGED ACCOUNT SOLUTIONS, INC.Registered adviserregistration: previous registration
Jul 11, 2011 to Nov 24, 2014factForm ADV
→ CP CAPITAL SECURITIES, INC.Registered adviserregistration: previous registration
Sep 14, 2007 to Sep 15, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 7, 2006 to May 25, 2007factForm ADV

Dated events

No dated event names this entity yet.