DFX Intelligence
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Team lift-out
4 advisors left C••••• I••••••••• A••••••• L•• for O•••••• P••••••• F•••••••• A•••••••• L••
BD affiliatedtono RAUMAffiliated broker-dealer or bank to a newly registered adviserderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Anne Kathleen Simpson | Roswell, Ga | Oct 28, 2022 | Sep 19, 2022 |
| Robert Francis Fezza | Roswell, Ga | Oct 28, 2022 | Sep 19, 2022 |
| Roman Shlyakhetko | Roswell, Ga | Oct 28, 2022 | Nov 3, 2022 |
| Stephen Andrew Siders | Roswell, Ga | Oct 28, 2022 | Sep 19, 2022 |
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
- Oct 28, 2022
- Registered next
- Sep 19, 2022 to Nov 3, 2022
- Branch state
- GA
- Cities
- 1, most in Roswell, Ga
- Registered there that day
- 2,651 (people still on IAPD; an estimate)
- Share of that headcount
- 0.2%
- Succession by the destination
- a succession within a year (Sep 19, 2022), not necessarily this firm