DFX Intelligence
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Channel change (one enterprise)
6 advisors moved from J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••
Not a lift-out: both firms report Jpm••••• Chase Holdings Llc 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 affiliatedtowirehouseAffiliated broker-dealer or bank to wirehousederived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Anis Salah | Walnut Creek, Ca | Mar 25, 2024 | Mar 21, 2024 |
| Annette Molina Smith | San Francisco, Ca | Mar 25, 2024 | Mar 8, 2024 |
| Craig D Pollock | Walnut Creek, Ca | Mar 25, 2024 | Mar 21, 2024 |
| Gary G Pollock | Walnut Creek, Ca | Mar 25, 2024 | Nov 28, 2023 |
| Xinyi Huang | San Francisco, Ca | Mar 25, 2024 | Mar 8, 2024 |
| Peter Chak | San Francisco, Ca | Mar 28, 2024 | Mar 8, 2024 |
The rule
- Registrations ended
- Mar 25, 2024 to Mar 28, 2024
- Registered next
- Nov 28, 2023 to Mar 21, 2024
- Branch state
- CA
- Cities
- 2, most in Walnut Creek, Ca
- Registered there that day
- 450 (people still on IAPD; an estimate)
- Share of that headcount
- 1.3%
- One enterprise because
- both firms report Jpm••••• Chase Holdings Llc as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape