DFX Intelligence
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Team lift-out
4 advisors left M•• I•••••••• S•••••••• L•• for S•••••• W••••• P•••••••• L••
BD affiliatedtoindependent RIAAffiliated broker-dealer or bank to independent RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Ryan James Hunter | Stamford, Ct | Dec 16, 2019 | Jan 22, 2020 |
| John Thomas Dougherty | Westport, Ct | Dec 17, 2019 | Dec 13, 2019 |
| Christopher Zapata | Stamford, Ct | Dec 18, 2019 | Dec 13, 2019 |
| Michael J Carbino | Stamford, Ct | Dec 18, 2019 | Dec 13, 2019 |
The rule
- Registrations ended
- Dec 16, 2019 to Dec 18, 2019
- Registered next
- Dec 13, 2019 to Jan 22, 2020
- Branch state
- CT
- Cities
- 2, most in Stamford, Ct
- Registered there that day
- 3,425 (people still on IAPD; an estimate)
- Share of that headcount
- 0.1%
- Succession by the destination
- none on the tape
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, all registering next through the same other firm. The kind is a printed rule, not a judgment: absorbed when half or more of the firm’s registered people moved or a succession names it, channel change when the two CRDs are one enterprise (same name, same 75%+ owner around the move, or one name the other with a word added), large transfer at fifty or more, lift-out otherwise.