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RIA / WealthAdvisor41 years in industry

RUBEN VICTOR ROZENTAL

Advisor at PGI WEALTH MANAGEMENT

ALPHARETTA, GA | CORAL GABLES, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 24, 1985 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: PGI WEALTH MANAGEMENT
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: Jan 24, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Oct 3, 1994
First registration: Jan 24, 1985
Dual registered: no
IAPD individual key: 1331297

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
PGI WEALTH MANAGEMENT	Independent wealth	Mar 11, 2020	n/a	yes	CORAL GABLES, FL\|ALPHARETTA, GA	Current employment
BLACK PEARL FINANCIAL SERVICES LLC	n/a	Apr 21, 2011	Apr 29, 2020	no	CORAL GABLES, FL\|Coral Gables, FL	Previous registration
ROZENTAL ASSET MANAGEMENT (RAM), LLC	n/a	Jul 16, 2004	Jun 29, 2009	no	FORT LAUDERDALE, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 24, 1985	Aug 1, 2002	no	CORAL GABLES, 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
BLACK PEARL FINANCIAL SERVICES LLC	PGI WEALTH MANAGEMENT	Apr 29, 2020	Mar 11, 2020	-49	Firm change after gap	Other
ROZENTAL ASSET MANAGEMENT (RAM), LLC	BLACK PEARL FINANCIAL SERVICES LLC	Jun 29, 2009	Apr 21, 2011	661	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ROZENTAL ASSET MANAGEMENT (RAM), LLC	Aug 1, 2002	Jul 16, 2004	715	Firm change after gap	Other

Relationships

Registered with (4)

→ PGI WEALTH MANAGEMENTRegistered adviserregistration: current employment
Mar 11, 2020 to presentfactForm ADV
→ BLACK PEARL FINANCIAL SERVICES LLCRegistered adviserregistration: previous registration
Apr 21, 2011 to Apr 29, 2020factForm ADV
→ ROZENTAL ASSET MANAGEMENT (RAM), LLCRegistered adviserregistration: previous registration
Jul 16, 2004 to Jun 29, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 24, 1985 to Aug 1, 2002factForm ADV

Dated events

No dated event names this entity yet.