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
Lorena Soledad Garza
Feed of 09/14/2026
Also filed as Lorena Soledad Lopez
At current firm
3 y
since Sep 23, 2022
In the industry
25 y
since Jul 23, 2001 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- UBS Financial Services Inc. wirehouse currentsince Sep 23, 2022 · Mcallen, Tx
- Trb Wealth Management, LLC otherDec 3, 2021 to Aug 3, 2022 · Houston, Tx
- UBS Financial Services Inc. wirehouseNov 7, 2014 to Nov 22, 2021 · Mcallen, Tx
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Nov 24, 2014 · Mcallen, Tx
- Chase Investment Services Corp. formerMar 11, 2004 to Oct 1, 2012 · Mcallen, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJul 24, 2001 to Jun 2, 2003 · Mcallen, Tx
Moves
a registration end followed by a registration begin elsewhere
- Trb Wealth Management, LLC to UBS Financial Services Inc.left Aug 3, 2022, registered Sep 23, 2022 (51 days) · RIA to wirehouse
- UBS Financial Services Inc. to Trb Wealth Management, LLCleft Nov 22, 2021, registered Dec 3, 2021 (11 days) · Wirehouse to independent RIA
- J.P. Morgan Securities LLC to UBS Financial Services Inc.left Nov 24, 2014, registered Nov 7, 2014 (-17 days) · Wirehouse to wirehouse
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Chase Investment Services Corp.left Jun 2, 2003, registered Mar 11, 2004 (283 days) · Other
Signals
- Lorena Soledad Garza left Trb Wealth Management, Llc for Ubs Financial Services Inc. (registered 2022-09-23)Aug 3, 2022 · 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address