MORA CAPITAL MANAGEMENT, LLC of MIAMI, FL is an SEC-registered investment adviser (CRD 112221). Regulatory assets under management: $1.9B.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Joaquin Nmn Frances | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER/CCO/AMLCO | — |
| Robert Byron Gaeta | CHIEF COMPLIANCE OFFICER | — |
| Peter Botero | CHIEF COMPLIANCE OFFICER | — |
| SMITH BENJAMIN A | CCO | — |
| GARCON SALVADOR | EXECUTIVE, DIRECT OWNER | — |
| KULISIC ALFREDO A | EXECUTIVE, DIRECT OWNER | — |
| GIL IGNACIO | EXECUTIVE, DIRECT OWNER | — |
| RODRIGUEZFRAILE GONZALO | DIRECTOR, OWNER | — |
| SULLIVAN JOHN STEPHEN | DIRECTOR, OWNER; DIRECTOR, OWNER,CHIEF COMPLIANCE OFFICER; MANAGER | — |
| LLACA FRANCISCO GASTON | CHIEF COMPLIANCE OFFICER; COMPLIANCE OFFICER | — |
| GADALAMARIA JACOBO ANTONIO | CHIEF COMPLIANCE OFFICER | — |
| FONT JOAN QUERA | EXECUTIVE | — |
| MORA LUIS ALVAREZ | EXECUTIVE; EXECUTIVE DIRECT OWNER | — |
| SANTIVANEZ GISELLA M | COMPLIANCE OFFICER | — |
| ZENO JOHN JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| CORTINA ADELA | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER | — |
| FRANCES JOAQUIN NMN | CHIEF EXECUTIVE OFFICER | — |
| BUTNARU ELI | CHIEF EXECUTIVE OFFICER | — |
| FIGUEROA ANGELIQUE ELIZABETH | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND CHIEF OPERATIONS OFFICER | — |
| BOTERO PETER | CHIEF COMPLIANCE OFFICER | — |
| Joan Nmn Mora Magrina | OWNER | — |
| Daniel Nmn Mora Planas | OWNER | — |
| Manela Nmn Aristot Mora | OWNER | — |
| Jorid Nmn Mora Magrina | OWNER | — |
| Jordi Nmn Mora Magrina | OWNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2003-03-06 | regulatory | PRS LATAM LLC (F/K/A) BEGAN OPERATIONS IN JUNE OF 2000 AS A FEDERAL COVERED INVESTMENT ADVISOR. PRS LATAM LLC (F/K/A) DID NOT NOTICE FILE WITH THE FLORIDA DEPARTMENT OF FINANCIAL SERVICES, AS REQUIRED BY SECTION 517.1201 FS UNTIL SEPTEMBER 6, 2001. PRS LATAM LLC ATTRIBUTES THIS TO VARIOUS ADMINISTRA… | Final | $5K |