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
Gregory A Lopez
Certified Financial Planner
Feed of 09/15/2026
Also filed as Gregory Alan Lopez
At current firm
1 y
since May 16, 2025
In the industry
21 y
since Sep 16, 2005 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
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
- Wealth Enhancement Advisory Services, LLC BD affiliated currentsince May 16, 2025 · Cleveland, Oh
- Marcum Wealth, LLC formerOct 21, 2021 to May 19, 2025 · Cleveland, Oh
- Global Retirement Partners LLC institutionalNov 9, 2017 to Oct 15, 2021 · Cleveland, Oh
- Girard Securities, Inc. formerApr 26, 2013 to Oct 11, 2017 · Cleveland, Oh
- Warther Private Wealth independent RIANov 29, 2012 to Apr 9, 2013 · Akron, Oh
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJul 27, 2009 to Dec 2, 2009 · New York, Ny
- Morgan Stanley wirehouseJun 1, 2009 to Aug 14, 2009 · Cleveland, Oh
- Citigroup Global Markets Inc. BD affiliatedNov 1, 2007 to Jun 1, 2009 · Cleveland, Oh
Moves
a registration end followed by a registration begin elsewhere
- Marcum Wealth, LLC to Wealth Enhancement Advisory Services, LLCleft May 19, 2025, registered May 16, 2025 (-3 days) · corporate re-registration, not a move
- Global Retirement Partners LLC to Marcum Wealth, LLCleft Oct 15, 2021, registered Oct 21, 2021 (6 days) · Other
- Girard Securities, Inc. to Global Retirement Partners LLCleft Oct 11, 2017, registered Nov 9, 2017 (29 days) · Other
- Warther Private Wealth to Girard Securities, Inc.left Apr 9, 2013, registered Apr 26, 2013 (17 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Warther Private Wealthleft Dec 2, 2009, registered Nov 29, 2012 (1093 days) · Other
- Morgan Stanley to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Aug 14, 2009, registered Jul 27, 2009 (-18 days) · Wirehouse to wirehouse
- Citigroup Global Markets Inc. to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address