DFX Intelligence
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Firm absorbed
3 advisors left S••••• I••••••••• G••••• L•• for M••••••
independent RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Alexis J Howard | Emeryville, Ca | Jan 26, 2022 | Dec 16, 2021 |
| Joseph James Sims | San Francisco, Ca | Jan 26, 2022 | Dec 16, 2021 |
| Scott Laurence Lummer | Emeryville, Ca | Jan 26, 2022 | Dec 16, 2021 |
The rule
- Registrations ended
- Jan 26, 2022
- Registered next
- Dec 16, 2021
- Branch state
- CA
- Cities
- 2, most in Emeryville, Ca
- Registered there that day
- 3 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- Succession by the destination
- none on the tape