DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from T• A••••••••• I••••••••• M••••••••• L•• to S••••• W••••• A•••••••• I•••
Not a lift-out: both firms report The Charles S••••• Corporation 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.
independent RIAtono RAUMOtherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Douglas Fosdick Carter | Omaha, Ne | Sep 7, 2023 | Jan 9, 2024 |
| Ibrahim A Bakhit | Omaha, Ne | Sep 7, 2023 | Jun 24, 2024 |
The rule
- Registrations ended
- Sep 7, 2023
- Registered next
- Jan 9, 2024 to Jun 24, 2024
- Branch state
- NE
- Cities
- 1, most in Omaha, Ne
- Registered there that day
- 741 (people still on IAPD; an estimate)
- Share of that headcount
- 0.3%
- One enterprise because
- both firms report The Charles S••••• Corporation as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape