DFX Intelligence
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Firm absorbed
4 advisors left W•••••• W••••• M••••••••• I••• for C••••••
independent RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Brian Todd Shupe | Indianapolis, In | Nov 13, 2023 | Oct 31, 2023 |
| Matthew Brian Ulsas | Indianapolis, In | Nov 13, 2023 | Oct 31, 2023 |
| Randall Dean Clark | Indianapolis, In | Nov 13, 2023 | Oct 31, 2023 |
| Sandra Ruth Villiger | Indianapolis, In | Nov 13, 2023 | Oct 31, 2023 |
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
- Nov 13, 2023
- Registered next
- Oct 31, 2023
- Branch state
- IN
- Cities
- 1, most in Indianapolis, In
- Registered there that day
- 8 (people still on IAPD; an estimate)
- Share of that headcount
- 50%
- Succession by the destination
- a succession within a year (Oct 20, 2023), not necessarily this firm