DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Channel change (one enterprise)
2 advisors moved from T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
Not a lift-out: both firms report The C•••••• 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 RIAtonational BDRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Christopher Richard Horst | Omaha, Ne | Jan 21, 2021 | Sep 30, 2022 |
| Alexander C Otte | Omaha, Ne | Jan 25, 2021 | Oct 3, 2022 |
The rule
- Registrations ended
- Jan 21, 2021 to Jan 25, 2021
- Registered next
- Sep 30, 2022 to Oct 3, 2022
- Branch state
- NE
- Cities
- 1, most in Omaha, Ne
- Registered there that day
- 942 (people still on IAPD; an estimate)
- Share of that headcount
- 0.2%
- One enterprise because
- both firms report The C•••••• S••••• Corporation as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape