DFX Intelligence
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Team lift-out
2 advisors left C••••• I••••••••• A••••••• L•• for L•• E••••••••• L••
BD affiliatedtono RAUMAffiliated broker-dealer or bank to a newly registered adviserderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Thomas John Harold | Cape Girardeau, Mo | Feb 27, 2025 | Feb 11, 2025 |
| Aaron Michael Froehlich | Liberty, Mo | Feb 28, 2025 | Feb 20, 2025 |
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
- Feb 27, 2025 to Feb 28, 2025
- Registered next
- Feb 11, 2025 to Feb 20, 2025
- Branch state
- MO
- Cities
- 2, most in Cape Girardeau, Mo
- Registered there that day
- 7,550 (people still on IAPD; an estimate)
- Share of that headcount
- 0.0%
- Succession by the destination
- none on the tape