DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

DANIEL JORGE RICHMOND

Advisor at MORA CAPITAL MANAGEMENT, LLC

MIAMI, 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:89be1e2d-9f65-1d69-f245-ebccc7e68ee5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 9, 2003 to Sep 14, 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: MORA CAPITAL MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 3, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 1
Exams: S66
First exam: Dec 3, 2003
First registration: Dec 9, 2003
Dual registered: yes, broker-dealer
Other names: DANIEL JORGE RICHMOND|DANIEL RICHMOND
IAPD individual key: 4704875

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
RICHMOND CAPITAL	Independent wealth	Jul 17, 2023	n/a	yes	MIAMI, FL	Current employment
MORA CAPITAL MANAGEMENT, LLC	Independent wealth	Dec 10, 2012	n/a	yes	MIAMI, FL	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 25, 2009	Sep 25, 2012	no	MIAMI, FL	Previous registration
UBS INTERNATIONAL INC.	n/a	Jul 18, 2006	Apr 30, 2009	no	MIAMI, FL\|NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 2, 2005	Jun 6, 2006	no	MIAMI, FL\|MIAMI, FL	Previous registration
MORGAN STANLEY DW INC.	n/a	Dec 9, 2003	Aug 13, 2004	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
LPL FINANCIAL LLC	MORA CAPITAL MANAGEMENT, LLC	Sep 25, 2012	Dec 10, 2012	76	Firm change	Other
UBS INTERNATIONAL INC.	LPL FINANCIAL LLC	Apr 30, 2009	Aug 25, 2009	117	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS INTERNATIONAL INC.	Jun 6, 2006	Jul 18, 2006	42	Firm change	Other
MORGAN STANLEY DW INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 13, 2004	Mar 2, 2005	201	Firm change	Other

Relationships

Registered with (6)

→ RICHMOND CAPITALRegistered adviserregistration: current employment
Jul 17, 2023 to presentfactForm ADV
→ MORA CAPITAL MANAGEMENT, LLCRegistered adviserregistration: current employment
Dec 10, 2012 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 25, 2009 to Sep 25, 2012factForm ADV
→ UBS INTERNATIONAL INC.Registered adviserregistration: previous registration
Jul 18, 2006 to Apr 30, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 2, 2005 to Jun 6, 2006factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Dec 9, 2003 to Aug 13, 2004factForm ADV

Dated events

No dated event names this entity yet.