DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••
Not a lift-out: the two CRDs file under the same business name, 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.
mixed wealthtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Konstantin Grigoryevich Etus | Omaha, Ne | Apr 6, 2020 | Apr 13, 2020 |
| Ritchie O Brown | Omaha, Ne | Apr 14, 2020 | Mar 13, 2019 |
The rule
- Registrations ended
- Apr 6, 2020 to Apr 14, 2020
- Registered next
- Mar 13, 2019 to Apr 13, 2020
- Branch state
- NE
- Cities
- 1, most in Omaha, Ne
- Registered there that day
- 11 (people still on IAPD; an estimate)
- Share of that headcount
- 18%
- One enterprise because
- the two CRDs file under the same business name
- Succession by the destination
- a succession within a year (Sep 3, 2019), not necessarily this firm