DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from R•••••• P• S•••••••• A••••••••• I••• to R•• R••••••••• P••• A•••••••
Not a lift-out: both firms report R•••••• P. S•••••••• Holdings 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.
independent RIAtoinstitutionalOtherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Mari Elizabeth Erb | Austin, Tx | Apr 13, 2022 | Apr 14, 2022 |
| Virginia Malave Paneda | Austin, Tx | Apr 13, 2022 | May 6, 2022 |
The rule
- Registrations ended
- Apr 13, 2022
- Registered next
- Apr 14, 2022 to May 6, 2022
- Branch state
- TX
- Cities
- 1, most in Austin, Tx
- Registered there that day
- 13 (people still on IAPD; an estimate)
- Share of that headcount
- 15%
- One enterprise because
- both firms report R•••••• P. S•••••••• Holdings as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape