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

Grace M Lopez-Williams

Kovack Advisors, Inc.BD affiliatedNorcross, Ga dual registrantIAPD 6257700

Personal Financial Specialist

Feed of 09/14/2026

Also filed as Grace M Lopez -Cepero

At current firm

0 y

since Jul 14, 2026

In the industry

27 y

since Dec 1, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Kovack Advisors, Inc. BD affiliated current
since Jul 14, 2026 · Ft. Lauderdale, Fl
Oneamerica Securities, Inc. BD affiliated
Sep 18, 2025 to Jun 26, 2026 · Norcross, Ga
Avantax Advisory Services former
Oct 20, 2020 to Sep 5, 2025 · Dallas, Tx
Primerica Advisors national BD
Nov 25, 2019 to Mar 10, 2020 · Cumming, Ga
Avantax Advisory Services former
Aug 6, 2015 to Nov 15, 2019 · Norcross, Ga

Moves

a registration end followed by a registration begin elsewhere

Oneamerica Securities, Inc. to Kovack Advisors, Inc.
left Jun 26, 2026, registered Jul 14, 2026 (18 days) · Affiliated broker-dealer or bank to another
Avantax Advisory Services to Oneamerica Securities, Inc.
left Sep 5, 2025, registered Sep 18, 2025 (13 days) · Affiliated broker-dealer or bank to another
Primerica Advisors to Avantax Advisory Services
left Mar 10, 2020, registered Oct 20, 2020 (224 days) · Affiliated broker-dealer or bank to another
Avantax Advisory Services to Primerica Advisors
left Nov 15, 2019, registered Nov 25, 2019 (10 days) · Affiliated broker-dealer or bank to another

Signals

Grace M Lopez-Williams left Oneamerica Securities, Inc. for Kovack Advisors, Inc. (registered 2026-07-14)
Jun 26, 2026 · Advisor changed firm · fact
Grace M Lopez-Williams left Avantax Advisory Services for Oneamerica Securities, Inc. (registered 2025-09-18)
Sep 5, 2025 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address