DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••
Not a lift-out: both firms report Aretec Group, Inc. 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 affiliatedtoBD affiliatedAffiliated broker-dealer or bank to anotherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| David Vincent Menegus | Bend, Or | May 20, 2021 | May 20, 2021 |
| James S Miller | Clackamas, Or | May 20, 2021 | May 20, 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
- May 20, 2021
- Registered next
- May 20, 2021
- Branch state
- OR
- Cities
- 2, most in Bend, Or
- Registered there that day
- 259 (people still on IAPD; an estimate)
- Share of that headcount
- 0.8%
- One enterprise because
- both firms report Aretec Group, Inc. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape