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.
Feed of 09/15/2026
Also filed as James Dean Ramirez
At current firm
0 y
since Feb 20, 2026
In the industry
24 y
since Sep 13, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Fisher Investments independent RIA currentsince Feb 20, 2026 · Tampa, Fl
- LPL Enterprise, LLC BD affiliatedNov 18, 2024 to Dec 24, 2025 · Miami, Fl
- Pruco Securities, LLC no RAUMOct 17, 2024 to Nov 12, 2024 · Miami, Fl
- Northern Trust Investments, Incorporated asset managerAug 1, 2017 to Aug 24, 2020 · New York City, Ny
- Nuveen Asset Management, LLC mixed wealthMar 23, 2015 to Jul 12, 2017 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- LPL Enterprise, LLC to Fisher Investmentsleft Dec 24, 2025, registered Feb 20, 2026 (58 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Pruco Securities, LLC to LPL Enterprise, LLCleft Nov 12, 2024, registered Nov 18, 2024 (6 days) · corporate re-registration, not a move
- Northern Trust Investments, Incorporated to Pruco Securities, LLCleft Aug 24, 2020, registered Oct 17, 2024 (1515 days) · Other
- Nuveen Asset Management, LLC to Northern Trust Investments, Incorporatedleft Jul 12, 2017, registered Aug 1, 2017 (20 days) · Other
Signals
- James Dean Ramirez left Lpl Enterprise, Llc for Fisher Investments (registered 2026-02-20)Dec 24, 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address