DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Noemi Lopez Ortega
Feed of 09/15/2026
At current firm
0 y
since May 1, 2026
In the industry
32 y
since Jun 24, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Advisory Solutions Group independent RIA currentsince May 1, 2026 · Plymouth, Mn
- Union Capital Company independent RIADec 4, 2007 to May 22, 2026 · Tucson, Az
- LPL Financial LLC BD affiliatedAug 16, 2006 to Dec 6, 2007 · Frazier Park, Ca
- Wamu Investments, Inc. unclassifiedJun 12, 2006 to Aug 11, 2006 · Sun Valley, Ca
- Valic Financial Advisors, Inc. BD affiliatedMay 25, 2004 to Jun 22, 2006 · Glendale, Ca
Moves
a registration end followed by a registration begin elsewhere
- Union Capital Company to Advisory Solutions Groupleft May 22, 2026, registered May 1, 2026 (-21 days) · RIA to a newly registered adviser
- LPL Financial LLC to Union Capital Companyleft Dec 6, 2007, registered Dec 4, 2007 (-2 days) · Other
- Wamu Investments, Inc. to LPL Financial LLCleft Aug 11, 2006, registered Aug 16, 2006 (5 days) · Other
- Valic Financial Advisors, Inc. to Wamu Investments, Inc.left Jun 22, 2006, registered Jun 12, 2006 (-10 days) · Other
Signals
- Noemi Lopez Ortega left Union Capital Company for Advisory Solutions Group (registered 2026-05-01)May 22, 2026 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address