DFX Intelligence
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Firm absorbed
9 advisors left A••• W••••• S••••••••• for W••••• E••••••••• A••••••• S•••••••• L••
independent RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Alexander Joseph Vaccarella | Warren, Nj | Oct 2, 2019 | Oct 11, 2019 |
| Bret Kaye | Warren, Nj | Oct 2, 2019 | Dec 5, 2019 |
| Chris Schiffer | Warren, Nj | Oct 2, 2019 | Oct 1, 2019 |
| Christopher Paleologus | Warren, Nj | Oct 2, 2019 | Oct 28, 2019 |
| Christopher Von Holland | Warren, Nj | Oct 2, 2019 | Nov 6, 2019 |
| Gary Quinzel | Warren, Nj | Oct 2, 2019 | Oct 30, 2019 |
| Peter Andrew Needham | Warren, Nj | Oct 2, 2019 | Oct 1, 2019 |
| Peter C Hoglund | Warren, Nj | Oct 2, 2019 | Oct 9, 2019 |
| Ray A Hawkins | Warren, Nj | Oct 2, 2019 | Oct 8, 2019 |
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
- Oct 2, 2019
- Registered next
- Oct 1, 2019 to Dec 5, 2019
- Branch state
- NJ
- Cities
- 1, most in Warren, Nj
- Registered there that day
- 9 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- Succession by the destination
- none on the tape