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 |
|---|---|---|---|
| Thomson Clark Chew | Rochester, Ny | Aug 2, 2024 | Aug 1, 2024 |
| John Robert Ressler | Syracuse, Ny | Aug 9, 2024 | Jan 24, 2023 |
The rule
- Registrations ended
- Aug 2, 2024 to Aug 9, 2024
- Registered next
- Jan 24, 2023 to Aug 1, 2024
- Branch state
- NY
- Cities
- 2, most in Rochester, Ny
- Registered there that day
- 417 (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