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
Nixon D James
Certified Financial Planner
Feed of 09/14/2026
Also filed as Nixon D James
At current firm
1 y
since Aug 26, 2025
In the industry
16 y
since Aug 24, 2010 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Shepherd Advisor state registered currentsince Aug 26, 2025 · Rancho Cucamonga, Ca
- Lexaurum Advisors independent RIANov 15, 2019 to Jan 3, 2024 · Overland Park, Ks
- U.S. Bancorp Investments, Inc. formerAug 30, 2019 to Nov 29, 2019 · Upland, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 27, 2012 to Sep 3, 2019 · Ontario, Ca
- Eagle Strategies LLC BD affiliatedSep 2, 2010 to Mar 22, 2012 · San Bernardino, Ca
Moves
a registration end followed by a registration begin elsewhere
- Lexaurum Advisors to Shepherd Advisorleft Jan 3, 2024, registered Aug 26, 2025 (601 days) · RIA to a state-registered adviser
- U.S. Bancorp Investments, Inc. to Lexaurum Advisorsleft Nov 29, 2019, registered Nov 15, 2019 (-14 days) · Affiliated broker-dealer or bank to independent RIA
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to U.S. Bancorp Investments, Inc.left Sep 3, 2019, registered Aug 30, 2019 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- Eagle Strategies LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Mar 22, 2012, registered Mar 27, 2012 (5 days) · Other
Signals
- Nixon D James left Lexaurum Advisors for Shepherd Advisor (registered 2025-08-26)Jan 3, 2024 · 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
- STATE REGISTEREDderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address