DFX Intelligence
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2 advisors moved from T• A••••••••• I••••••••• M••••••••• L•• to S••••• W••••• A•••••••• I•••
Channel change (one enterprise)joined S••••• W••••• A•••••••• I•••
No date on record · this record
No date on record · this record
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 |
|---|---|---|---|
| Adam Moron | Southlake, Tx | Jun 29, 2023 | Jul 17, 2024 |
| George Anibar Sorto | Westlake, Tx | Jul 6, 2023 | Jul 24, 2023 |
The rule
- Registrations ended
- Jun 29, 2023 to Jul 6, 2023
- Registered next
- Jul 24, 2023 to Jul 17, 2024
- Branch state
- TX
- Cities
- 2, most in Southlake, Tx
- Registered there that day
- 761 (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