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••••• G• L••••

C••••• I••••••••• A••••••• L••BD affiliatedAustin, Txdual registrantIAPD 5634456

Feed of 09/14/2026

Also filed as Arthur Lopez

At current firm

1 y

since Feb 6, 2025

In the industry

17 y

since Apr 29, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Feb 6, 2025 · Austin, Tx
C••• F•••••••• S•••••••• L••• former
Aug 24, 2023 to Jan 24, 2025 · Austin, Tx
J••• M••••• S••••••••• L•• wirehouse
Oct 21, 2022 to Aug 17, 2023 · Leander, Tx
W•••• F•••• A••••••• wirehouse
Nov 6, 2019 to Oct 12, 2022 · Austin, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 1, 2016 to Oct 28, 2019 · Austin, Tx
M••••• S•••••• wirehouse
Jul 3, 2014 to Mar 28, 2016 · Austin, Tx

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to C••••• I••••••••• A••••••• L••
left Jan 24, 2025, registered Feb 6, 2025 (13 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to C••• F•••••••• S•••••••• L•••
left Aug 17, 2023, registered Aug 24, 2023 (7 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
left Oct 12, 2022, registered Oct 21, 2022 (9 days) · Wirehouse to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Oct 28, 2019, registered Nov 6, 2019 (9 days) · Wirehouse to wirehouse
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 28, 2016, registered Apr 1, 2016 (4 days) · Wirehouse to wirehouse · moved with a team

Signals

A••••• G• L•••• left C••• F•••••••• S•••••••• L••• for C••••• I••••••••• A••••••• L•• (registered 2025-02-06)
Jan 24, 2025 · Advisor changed firm · fact
A••••• G• L•••• left J••• M••••• S••••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-08-24)
Aug 17, 2023 · Advisor changed firm · fact
A••••• G• L•••• left W•••• F•••• A••••••• for J••• M••••• S••••••••• L•• (registered 2022-10-21)
Oct 12, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address