DFX Intelligence
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Team lift-out
2 advisors left S••••• F•••••••• G•••• I•• for C•••••••• F••••••••• I•••
BD affiliatedtoBD affiliatedAffiliated broker-dealer or bank to anotherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Koorosh Zartoshty | Woodland Hills, Ca | Jan 17, 2020 | Jan 17, 2020 |
| Thomas Carlos Nieves | Woodland Hills, Ca | Jan 17, 2020 | Jan 22, 2020 |
The rule
- Registrations ended
- Jan 17, 2020
- Registered next
- Jan 17, 2020 to Jan 22, 2020
- Branch state
- CA
- Cities
- 1, most in Woodland Hills, Ca
- Registered there that day
- 289 (people still on IAPD; an estimate)
- Share of that headcount
- 0.7%
- Succession by the destination
- none on the tape
A 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.