DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Channel change (one enterprise)
2 advisors moved from C•••••• G•••• • C• I•• to L•• F•••••••• L••
Not a lift-out: both firms report Lpl Holdings, Inc. as a 75%+ owner on Schedule A around the move, 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.
BD affiliatedtoBD affiliatedAffiliated broker-dealer or bank to anotherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Christopher Thomas Varga | South Bend, In | Sep 27, 2019 | Sep 26, 2019 |
| Thomas James Varga | South Bend, In | Sep 27, 2019 | Sep 26, 2019 |
The rule
- Registrations ended
- Sep 27, 2019
- Registered next
- Sep 26, 2019
- Branch state
- IN
- Cities
- 1, most in South Bend, In
- Registered there that day
- 209 (people still on IAPD; an estimate)
- Share of that headcount
- 1.0%
- One enterprise because
- both firms report Lpl Holdings, Inc. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape