2 advisors left L•• F•••••••• L•• (Poughkeepsie, NY) for A••••••••• F•••••••• S•••••••• L•• on the same day

2 advisors left L•• F•••••••• L•• (Poughkeepsie, NY) for A••••••••• F•••••••• S•••••••• L•• on the same day

Why now: Dated 2026-09-18 (filing); first seen by DFX 2026-09-22.

Buyer classes for this family: RIA aggregators, Advisor recruiters, Custodians, RIA principals.

advisors

exposure unknown

basis UNKNOWN

State

New

Historical signal

not measured as a predictor

Confidence

0.85

a same-day team move names the losing and gaining firm; recruiters, custodians and aggregators act on it within days. Evidence class: derived; source IAPD individual compilation feed (every investment adviser representative, daily).

the registrations are a re-registration under a renamed firm

DFX product: Advisor Recruiting Intelligence

• J•••• S•••• B••••••• · Vice President, Chief Financial Officer and Controller · A••••••••• F•••••••• S•••••••• L••
• M••••••• D•••• D•••• · Region Vice President (Texas Designated Officer) · A••••••••• F•••••••• S•••••••• L••
• J••••• D••••• F•••••• · Senior Vice President and Chief Compliance Officer · A••••••••• F•••••••• S•••••••• L••
• M•••••• J•• A•••••• · President and Chief Financial Officer · L•• F•••••••• L••
• A••••• A•••••••• B•••• · Managing Director, Chief Legal Officer and Director · L•• F•••••••• L••
• L••••••• S••• D••••• · Managing Director, Chief Human Capital Officer · L•• F•••••••• L••