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
Arthur Lopes
Feed of 09/14/2026
Also filed as Art Lopes
At current firm
3 y
since Sep 5, 2023
In the industry
26 y
since Jan 28, 2000 (earliest exam, job or registration)
Prior registered firms
7
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- Morgan Stanley wirehouse currentsince Sep 5, 2023 · Rolling Hills Estates, Ca
- E*Trade Capital Management, LLC formerOct 20, 2015 to Sep 5, 2023 · Los Angeles, Ca
- Charles Schwab & Co., Inc. national BDSep 22, 2010 to Oct 2, 2015 · Torrance, Ca
- National Planning Corporation ("Npc Of America" In Fl & Ny) formerAug 5, 2009 to Mar 24, 2010 · El Segundo, Ca
- Wedbush Securities Inc. BD affiliatedOct 1, 2007 to May 1, 2008 · Pasadena, Ca
- Wells Fargo Advisors wirehouseFeb 15, 2007 to Oct 3, 2007 · Orland Park, Il
- Envestnet Pmc independent RIANov 9, 2005 to Feb 8, 2007 · Berwyn, Pa
- Charles Schwab & Co., Inc. national BDFeb 13, 2001 to Jan 28, 2005 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- E*Trade Capital Management, LLC to Morgan Stanleyleft Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- Charles Schwab & Co., Inc. to E*Trade Capital Management, LLCleft Oct 2, 2015, registered Oct 20, 2015 (18 days) · Other
- National Planning Corporation ("Npc Of America" In Fl & Ny) to Charles Schwab & Co., Inc.left Mar 24, 2010, registered Sep 22, 2010 (182 days) · Other
- Wedbush Securities Inc. to National Planning Corporation ("Npc Of America" In Fl & Ny)left May 1, 2008, registered Aug 5, 2009 (461 days) · Other
- Wells Fargo Advisors to Wedbush Securities Inc.left Oct 3, 2007, registered Oct 1, 2007 (-2 days) · Other
- Envestnet Pmc to Wells Fargo Advisorsleft Feb 8, 2007, registered Feb 15, 2007 (7 days) · Other
- Charles Schwab & Co., Inc. to Envestnet Pmcleft Jan 28, 2005, registered Nov 9, 2005 (285 days) · Other
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address