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.

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

Aug 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Designations

Chartered Financial Analyst

Exams

S66

First exam

Dec 20, 2021

First registration

Feb 18, 2022

Dual registered

yes, broker-dealer

Other names

Mario Enrique Ros-Flis|Mario Ros|Mario Enrique Ros|Mario E Ros

IAPD individual key

7461009

• Occurred

  May 19, 2026
  Advisor changed firm

  Mario Enrique Ros left Ubs Financial Services Inc. for Mora Capital Management, Llc (registered 2026-05-20)

  Form ADVobserved 6 days ago
• Occurred

  Nov 28, 2024
  Advisor changed firm

  Mario Enrique Ros left Citigroup Global Markets Inc. for Ubs Financial Services Inc. (registered 2024-12-17)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:d29541a8-c6b2-7d26-b431-6adbf5eca0bd

First observed

Feb 18, 2022

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.