DFX Intelligence

RIA Intelligence

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Firm absorbed

4 advisors left S•••••• V••••• W••••• A•••••••• L•• for A••••••• F••••••••• L•••

independent RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
AdvisorBranchLeftRegistered
Charles Duc Huy TranSan Jose, CaJan 2, 2024Dec 7, 2023
Randall Scott PonderSan Jose, CaJan 2, 2024Dec 7, 2023
Scott Preston YangSan Jose, CaJan 2, 2024Dec 21, 2023
Tracy Frank LaseckeSan Jose, CaJan 2, 2024Dec 8, 2023
The rule
Registrations ended
Jan 2, 2024
Registered next
Dec 7, 2023 to Dec 21, 2023
Branch state
CA
Cities
1, most in San Jose, Ca
Registered there that day
4 (people still on IAPD; an estimate)
Share of that headcount
100%
Succession by the destination
none on the tape
Other teams out of S•••••• V••••• W••••• A•••••••• L••Other teams into A••••••• F••••••••• L•••