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
Ricardo Ramirez
Feed of 09/15/2026
Also filed as Ricardo Ramirez De La Espriella
At current firm
13 y
since Oct 8, 2012
In the industry
22 y
since Jul 7, 2004 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
10
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Hsbc Securities (USA) Inc. BD affiliated currentsince Oct 8, 2012 · Beverly Hills, Ca
- Riwm, LLC state registeredMay 9, 2012 to Oct 31, 2012 · Coral Gables, Fl
- Rehmann Wealth independent RIAAug 4, 2011 to Sep 6, 2012 · Miamil, Fl
- Capital Guardian Wealth Management, LLC formerNov 6, 2009 to Mar 5, 2010 · Miami, Fl
- Morgan Keegan & Company, LLC formerJun 16, 2008 to Apr 6, 2009 · Coral Gables, Fl
- Asd Financial Services Corp unclassifiedApr 13, 2006 to Sep 26, 2006 · Miami, Fl
- Morgan Stanley Dw Inc. unclassifiedAug 20, 2004 to Apr 4, 2006 · Miami, Fl
Moves
a registration end followed by a registration begin elsewhere
- Riwm, LLC to Hsbc Securities (USA) Inc.left Oct 31, 2012, registered Oct 8, 2012 (-23 days) · Other
- Rehmann Wealth to Riwm, LLCleft Sep 6, 2012, registered May 9, 2012 (-120 days) · Other
- Capital Guardian Wealth Management, LLC to Rehmann Wealthleft Mar 5, 2010, registered Aug 4, 2011 (517 days) · Other
- Morgan Keegan & Company, LLC to Capital Guardian Wealth Management, LLCleft Apr 6, 2009, registered Nov 6, 2009 (214 days) · Other
- Asd Financial Services Corp to Morgan Keegan & Company, LLCleft Sep 26, 2006, registered Jun 16, 2008 (629 days) · Other
- Morgan Stanley Dw Inc. to Asd Financial Services Corpleft Apr 4, 2006, registered Apr 13, 2006 (9 days) · Other
Signals
No dated event on this person.
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address