Legal

Disclosures — Lopez Capital Advisors

This page is reserved for compliance-approved language. All content is subject to review and approval by appropriate compliance personnel prior to publication.

01

Website Disclaimer

The information contained on this website is provided for general informational purposes only and does not constitute legal, financial, investment, or professional advice of any kind. Lopez Capital Advisors makes no representations or warranties of any kind, express or implied, regarding the accuracy, completeness, reliability, suitability, or availability of any information contained on this website.

Your use of this website and reliance on any information provided is solely at your own risk. Lopez Capital Advisors shall not be liable for any loss or damage arising from your use of this website or reliance on any information presented herein.

The content on this website is subject to change without notice. Lopez Capital Advisors reserves the right to modify, update, or remove any content at any time and without prior notice.

02

Regulatory Disclosures

Lopez Capital Advisors is a strategic capital advisory firm. Lopez Capital Advisors is a division of Lopez Enterprises. This website is intended for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any securities or investment products.

Nothing on this website should be construed as investment advice, a recommendation to buy or sell any security, or an endorsement of any particular investment strategy. Past performance is not indicative of future results.

Lopez Capital Advisors does not provide legal, tax, or accounting advice. Prospective clients and investors are encouraged to consult with their own legal, tax, financial, and other professional advisors before making any investment or business decisions.

This page is reserved for compliance-approved language. All regulatory disclosures are subject to review and approval by appropriate compliance personnel prior to publication.

03

Privacy Policy

Lopez Capital Advisors is committed to protecting the privacy of individuals who interact with our website and services. This Privacy Policy describes how we collect, use, and safeguard information.

Information We Collect: We may collect personal information that you voluntarily provide to us through contact forms, email correspondence, or other direct communications. This may include your name, company affiliation, email address, phone number, and the content of your communications.

How We Use Information: Information you provide is used solely to respond to your inquiries, facilitate business communications, and improve our services. We do not sell, rent, or share your personal information with third parties for marketing purposes.

Data Security: We implement reasonable administrative, technical, and physical safeguards to protect information against unauthorized access, disclosure, alteration, or destruction.

Retention: We retain personal information only as long as necessary to fulfill the purposes for which it was collected or as required by applicable law.

Contact: If you have questions regarding this Privacy Policy, please contact us directly through the information provided on our Contact page.

This Privacy Policy is subject to update. Material changes will be reflected on this page with a revised effective date.

04

Terms of Use

By accessing and using this website, you agree to be bound by these Terms of Use. If you do not agree to these terms, please do not use this website.

Permitted Use: This website is provided for informational purposes only. You may access and use this website for lawful, non-commercial purposes consistent with these Terms of Use.

Intellectual Property: All content on this website, including but not limited to text, graphics, logos, and images, is the property of Lopez Capital Advisors or its content suppliers and is protected by applicable intellectual property laws. Unauthorized use, reproduction, or distribution of any content is strictly prohibited.

Prohibited Conduct: You agree not to use this website in any manner that could damage, disable, or impair the website or interfere with any other party's use of the website. You agree not to attempt to gain unauthorized access to any portion of this website or any systems or networks connected to this website.

Limitation of Liability: To the fullest extent permitted by applicable law, Lopez Capital Advisors shall not be liable for any indirect, incidental, special, consequential, or punitive damages arising from your use of or inability to use this website.

Governing Law: These Terms of Use shall be governed by and construed in accordance with the laws of the State of New Mexico, without regard to its conflict of law provisions.

06

Securities Disclosure

Nothing on this website constitutes an offer to sell, a solicitation of an offer to buy, or a recommendation of any security or investment product. Any discussion of securities or investment opportunities on this website is for general informational purposes only.

Investing in securities involves significant risk, including the possible loss of principal. Private securities offerings are speculative, illiquid, and suitable only for investors who can bear the risk of a complete loss of their investment. Past performance is not a guarantee of future results.

Lopez Capital Advisors does not provide investment advice and is not registered as an investment adviser with the U.S. Securities and Exchange Commission or any state securities authority in that capacity. Nothing herein should be construed as investment advice or a recommendation to engage in any investment transaction.

Where applicable, securities offerings referenced in connection with Lopez Capital Advisors' services are conducted through registered broker-dealer affiliates. Prospective investors should review all offering documents carefully and consult with their own legal, financial, and tax advisors before making any investment decision.

07

Broker-Dealer Disclosure

Where applicable, securities offerings facilitated in connection with Lopez Capital Advisors' advisory services are conducted through GT Securities, Inc., a registered broker-dealer. Lopez Capital Advisors itself is not a registered broker-dealer.

Scott Lopez is a Registered Representative through GT Securities, Inc. Securities transactions and offerings are subject to the rules, regulations, and oversight applicable to GT Securities, Inc. as a registered broker-dealer.

Securities offered through GT Securities, Inc. gtsecurities.net, member FINRA finra.org, SIPC sipc.org.

Clients and prospective investors should be aware that broker-dealers are subject to regulatory oversight by the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Information about registered broker-dealers and their registered representatives may be obtained through FINRA's BrokerCheck at www.finra.org/brokercheck.

This disclosure is provided for informational purposes and is subject to update as regulatory requirements and business arrangements evolve. This page is reserved for compliance-approved language only.

The disclosures on this page are provided for informational purposes only and are subject to change without notice. This page is reserved for compliance-approved language. Lopez Capital Advisors reserves the right to update these disclosures at any time. Last reviewed: August 2026.

Lopez Capital Advisors

A founder-led strategic capital advisory firm connecting innovative companies with capital, partnerships, and long-term growth opportunities.

rio rancho, New Mexico

© 2026 Lopez Capital Advisors. All rights reserved.

Disclosures & Legal