Luis Lopez is a registered investment advisor at Fsam LLC, based in Guaynabo, PR, with 47 years of industry experience. Luis operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 165 clients with $110M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
15 advisors
Number of Clients
165 clients
Average Client Portfolio
$684K average
Assets Under Management
$112.9M
Fee Structure
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.50% |
| $500K - $1000K | 1.35% |
| $1.0M - $2.0M | 1.10% |
| $2M+ | 1.00% |
Annual fees in international advisory accounts may range up to 2%. All fees are negotiable between the client and FSAM.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
GAM Tower 2 Tabonuco Street, Suite 200, Guaynabo, PR, 00968
Get directionsHistory
Regulatory History (11)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2019Settled
Customer Dispute
October 2019Settled
Customer Dispute
September 2019Settled
Customer Dispute
May 2019Settled
Customer Dispute
October 2018Settled
Customer Dispute
October 2018Settled
Customer Dispute
August 2018Settled
Customer Dispute
January 2018Settled
Customer Dispute
November 2017Settled
Customer Dispute
November 2017Settled
Customer Dispute
September 2016Settled
Employment History
Current Registrations
Fsam LLC
November 2022 - Present · 3 yrs 5 mos
First Southern, LLCBroker
November 2022 - Present · 3 yrs 5 mos
Previous Registrations
Fsam LLC
November 2022 - November 2022 · 0 mos
Herbert J. Sims Capital Management, INC.
September 2016 - November 2022 · 6 yrs 2 mos
Herbert J. Sims & CO, INC.Broker
March 2016 - November 2022 · 6 yrs 8 mos
Santander Securities
March 2010 - February 2016 · 5 yrs 11 mos
Santander Securities LLCBroker
September 2006 - February 2016 · 9 yrs 5 mos
UBS Financial Services Incorporated of Puerto RicoBroker
February 1991 - September 2006 · 15 yrs 7 mos
UBS Financial Services INC.Broker
August 1982 - September 2006 · 24 yrs 1 mo
Shearson Loeb Rhoades INC.Broker
November 1980 - September 1982 · 1 yr 10 mos
Paine, Webber, Jackson & Curtis INC.Broker
January 1980 - November 1980 · 10 mos
Blyth Eastman Dillon & CO. IncorporatedBroker
August 1978 - January 1980 · 1 yr 5 mos
State Registrations5 states
CAFLNYPRVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.