DFX Intelligence
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Firm absorbed
3 advisors left S•••• F•••••••• G•••• for S•••• F•••••••• G••••• L••
independent RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Jolie Mccarthy | Corning, Ny | Mar 22, 2019 | May 12, 2021 |
| Michelle Socha Vang | Corning, Ny | Mar 22, 2019 | Feb 19, 2019 |
| Nina Helen Graham | Corning, Ny | Mar 22, 2019 | May 12, 2021 |
The ruleHow a team is typedA team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, all registering next through the same other firm.The kind is a printed rule, not a judgment: absorbed when half or more of the firm’s registered people moved or a succession names it, channel change when the two CRDs are one enterprise (same name, same 75%+ owner around the move, or one name the other with a word added), large transfer at fifty or more, lift-out otherwise.
- Registrations ended
- Mar 22, 2019
- Registered next
- Feb 19, 2019 to May 12, 2021
- Branch state
- NY
- Cities
- 1, most in Corning, Ny
- Registered there that day
- 3 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- Succession by the destination
- a succession within a year (Jan 2, 2019), not necessarily this firm