DFX Intelligence
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Team lift-out
2 advisors left M•• I•••••••• S•••••••• L•• for P••• A••••• S••••••••• L••
BD affiliatedtoBD affiliatedAffiliated broker-dealer or bank to anotherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Haiqing Chen | San Jose, Ca | Mar 28, 2024 | Apr 18, 2024 |
| Samuel Oceguera | San Leandro, Ca | Apr 9, 2024 | Apr 9, 2024 |
The ruleHow a team is typedA 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.
- Registrations ended
- Mar 28, 2024 to Apr 9, 2024
- Registered next
- Apr 9, 2024 to Apr 18, 2024
- Branch state
- CA
- Cities
- 2, most in San Jose, Ca
- Registered there that day
- 4,249 (people still on IAPD; an estimate)
- Share of that headcount
- 0.0%
- Succession by the destination
- none on the tape