DFX Intelligence
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Channel change (one enterprise)
2 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 |
|---|---|---|---|
| Eric James Schaber | La Vista, Ne | Jun 14, 2024 | Jan 19, 2021 |
| Kenneth Lee Clowers | La Vista, Ne | Jun 14, 2024 | Jan 19, 2021 |
The rule
- Registrations ended
- Jun 14, 2024
- Registered next
- Jan 19, 2021
- Branch state
- NE
- Cities
- 1, most in La Vista, Ne
- Registered there that day
- 1,743 (people still on IAPD; an estimate)
- Share of that headcount
- 0.1%
- 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