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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

A••••• E••• R••••••

W•••• F•••• A•••••••wirehouseWalnut Creek, Ca dual registrantIAPD 5183812

Feed of 09/14/2026

Also filed as A••••• E••• R••••••-Lopez

At current firm

0 y

since Dec 3, 2025

In the industry

20 y

since Sep 19, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Dec 3, 2025 · Walnut Creek, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Apr 29, 2025 · Concord, Ca
C••••• A•••••• N••••••• L•• former
Sep 13, 2019 to Jun 29, 2023 · Rancho Cordova, Ca
M•• A••••••• F•••••••• M••••••••• I••• former
Nov 17, 2010 to Sep 10, 2019 · Sacramento, Ca
W•••• F•••• I••••••••• L•• unclassified
Sep 20, 2006 to Oct 17, 2007 · Folsom, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to W•••• F•••• A•••••••
left Apr 29, 2025, registered Dec 3, 2025 (218 days) · Affiliated broker-dealer or bank to wirehouse
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
M•• A••••••• F•••••••• M••••••••• I••• to C••••• A•••••• N••••••• L••
left Sep 10, 2019, registered Sep 13, 2019 (3 days) · Affiliated broker-dealer or bank to another
W•••• F•••• I••••••••• L•• to M•• A••••••• F•••••••• M••••••••• I•••
left Oct 17, 2007, registered Nov 17, 2010 (1127 days) · Other

Signals

A••••• E••• R•••••• left C••••• I••••••••• A••••••• L•• for W•••• F•••• A••••••• (registered 2025-12-03)
Apr 29, 2025 · a•••••• firm change · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address