DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
Not a lift-out: both firms report Fmr Llc as a 75%+ owner on Schedule A around the move, so the two CRDs are one enterprise and nobody left anyone. A channel switch, an integration after an acquisition or an affiliate transfer. Never counted as a team in or out.
national BDtono RAUMAffiliated broker-dealer or bank to a newly registered adviserderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Nicolas Paul Wondolowski | Greenwood Village, Co | Apr 11, 2018 | Sep 18, 2019 |
| Alicia Stiverson | Greenwood Village, Co | Apr 18, 2018 | Jan 13, 2020 |
The rule
- Registrations ended
- Apr 11, 2018 to Apr 18, 2018
- Registered next
- Sep 18, 2019 to Jan 13, 2020
- Branch state
- CO
- Cities
- 1, most in Greenwood Village, Co
- Registered there that day
- 4,993 (people still on IAPD; an estimate)
- Share of that headcount
- 0.0%
- One enterprise because
- both firms report Fmr Llc as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape