DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from W••••••••• A••••••• to W••••••••• A•••••••
Not a lift-out: the two CRDs file under the same business name, 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.
independent RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Blake Ryan Barr | Seattle, Wa | Sep 11, 2024 | Jun 27, 2024 |
| Julia Marie Penwell | Seattle, Wa | Sep 11, 2024 | Aug 30, 2024 |
| Lisa Victoria Graham | Seattle, Wa | Sep 11, 2024 | Aug 30, 2024 |
The rule
- Registrations ended
- Sep 11, 2024
- Registered next
- Jun 27, 2024 to Aug 30, 2024
- Branch state
- WA
- Cities
- 1, most in Seattle, Wa
- Registered there that day
- 21 (people still on IAPD; an estimate)
- Share of that headcount
- 9.5%
- One enterprise because
- the two CRDs file under the same business name
- Succession by the destination
- none on the tape