DFX Intelligence
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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 |
|---|---|---|---|
| Mark Jay Sonnenblick | Mount Sinai, Ny | Mar 23, 2023 | Mar 20, 2023 |
| Frank Arthur Giorgio IV | Syracuse, Ny | Mar 28, 2023 | Mar 27, 2023 |
The rule
- Registrations ended
- Mar 23, 2023 to Mar 28, 2023
- Registered next
- Mar 20, 2023 to Mar 27, 2023
- Branch state
- NY
- Cities
- 2, most in Mount Sinai, Ny
- Registered there that day
- 412 (people still on IAPD; an estimate)
- Share of that headcount
- 0.5%
- 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