DFX Intelligence
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Channel change (one enterprise)
5 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.
independent RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| John Mossa | Red Bank, Nj | Aug 23, 2018 | Aug 24, 2018 |
| Linda Jean Pressler | Matawan, Nj | Aug 23, 2018 | Aug 24, 2018 |
| Michael Richard Szotak | Red Bank, Nj | Aug 23, 2018 | Aug 22, 2018 |
| Zachary Evan Brown | Red Bank, Nj | Aug 23, 2018 | Aug 24, 2018 |
| Gregory Bryon Spicer | Old Bridge, Nj | Aug 29, 2018 | Aug 22, 2018 |
The rule
- Registrations ended
- Aug 23, 2018 to Aug 29, 2018
- Registered next
- Aug 22, 2018 to Aug 24, 2018
- Branch state
- NJ
- Cities
- 3, most in Red Bank, Nj
- Registered there that day
- 198 (people still on IAPD; an estimate)
- Share of that headcount
- 2.5%
- 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