Ivan Lopez

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-03-02
CA	RA	APPROVED	2023-02-27

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Wells Fargo Bank Na	Escondido	CA	02/2010	11/2022
Wells Fargo Advisors Llc	Escondido	CA	01/2014	11/2016
Wells Fargo Clearing Services, Llc	Escondido	CA	11/2016	11/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	San Diego	CA	12/2022	Present
Bank Of America, N.A.	San Diego	CA	03/2023	Present

02/2010 → 11/2022

Wells Fargo Bank Na

Escondido, CA
01/2014 → 11/2016

Wells Fargo Advisors Llc

Escondido, CA
11/2016 → 11/2022

Wells Fargo Clearing Services, Llc

Escondido, CA
12/2022 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Diego, CA
03/2023 → Present

Bank Of America, N.A.

San Diego, CA

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-04-05
S63	Uniform Securities Agent State Law Examination	2015-12-12

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