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MORA FINANCIAL

SANTA ANA, CA · CRD 333845 · IAPD ↗ · mora.com · 949-287-8068

$150Regulatory AUM
1Advisory reps
1Employees
0Clients
n/aPlanning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
July 2025 — MORA FINANCIAL (SANTA ANA, CA) left the SEC roster (was $150 RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
95
January 2025 — MORA FINANCIAL (SANTA ANA, CA) is newly SEC-registered with $500,000 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.