DFX Intelligence
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Channel change (one enterprise)
3 advisors moved from S••••••••• A•••••• A•••••••• I••• to S•••••••• F••••••••• I•••
Not a lift-out: both firms report Osaic Holdings,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 |
|---|---|---|---|
| Catherine Victoria Garcia | Scottsdale, Az | Nov 5, 2018 | Nov 5, 2018 |
| Victor Ross Pereboom | Scottsdale, Az | Nov 5, 2018 | Feb 5, 2019 |
| Rick Kevin Cluck | Scottsdale, Az | Nov 6, 2018 | Nov 2, 2018 |
The rule
- Registrations ended
- Nov 5, 2018 to Nov 6, 2018
- Registered next
- Nov 2, 2018 to Feb 5, 2019
- Branch state
- AZ
- Cities
- 1, most in Scottsdale, Az
- Registered there that day
- 1,427 (people still on IAPD; an estimate)
- Share of that headcount
- 0.2%
- One enterprise because
- both firms report Osaic Holdings,inc as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape