DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from T•••• I••••••••• A••••••• to T•••• I••••••••• A•••••••
Not a lift-out: the two CRDs file under the same business name, 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.
independent RIAtono RAUMRIA to a newly registered adviserderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Burton Peter Street | Indianapolis, In | Jul 21, 2020 | Aug 6, 2020 |
| James Ronald Delay | Indianapolis, In | Jul 21, 2020 | Aug 21, 2020 |
The rule
- Registrations ended
- Jul 21, 2020
- Registered next
- Aug 6, 2020 to Aug 21, 2020
- Branch state
- IN
- Cities
- 1, most in Indianapolis, In
- Registered there that day
- 2 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- One enterprise because
- the two CRDs file under the same business name
- Succession by the destination
- a succession within a year (May 8, 2020), not necessarily this firm