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)
8 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 |
|---|---|---|---|
| Dareal Lanae Harmon | Oakland, Ca | Jul 8, 2024 | May 30, 2024 |
| Aileen Kay Braga | San Francisco, Ca | Jul 17, 2024 | May 28, 2024 |
| Cynthia M Serbia | San Francisco, Ca | Jul 17, 2024 | May 28, 2024 |
| Jeffrey Hodges | San Francisco, Ca | Jul 17, 2024 | May 28, 2024 |
| Justin B Kuh | San Francisco, Ca | Jul 17, 2024 | May 22, 2024 |
| Laura Liu Yick | San Francisco, Ca | Jul 17, 2024 | May 28, 2024 |
| Matthew J Sorensen | San Francisco, Ca | Jul 17, 2024 | Jun 5, 2024 |
| Samantha Lewins | San Francisco, Ca | Jul 17, 2024 | May 28, 2024 |
The rule
- Registrations ended
- Jul 8, 2024 to Jul 17, 2024
- Registered next
- May 22, 2024 to Jun 5, 2024
- Branch state
- CA
- Cities
- 2, most in San Francisco, Ca
- Registered there that day
- 393 (people still on IAPD; an estimate)
- Share of that headcount
- 2.0%
- 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