DFX Intelligence
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Channel change (one enterprise)
4 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 |
|---|---|---|---|
| David Gene Benedict | Rochester, Ny | Sep 19, 2018 | Aug 3, 2021 |
| David Matthew Germano | Syracuse, Ny | Sep 19, 2018 | Sep 18, 2018 |
| Mario Di Luigi | Syracuse, Ny | Sep 19, 2018 | Sep 18, 2018 |
| Stephen Douglas Howles | Rochester, Ny | Sep 19, 2018 | Sep 19, 2018 |
The rule
- Registrations ended
- Sep 19, 2018
- Registered next
- Sep 18, 2018 to Aug 3, 2021
- Branch state
- NY
- Cities
- 2, most in Rochester, Ny
- Registered there that day
- 193 (people still on IAPD; an estimate)
- Share of that headcount
- 2.1%
- 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