DFX Intelligence
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4 advisors moved from T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
Channel change (one enterprise)joined C•••••• S••••• • C••• I•••
No date on record · this record
No date on record · this record
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 |
|---|---|---|---|
| Cindy Lopez | Southlake, Tx | Aug 19, 2021 | May 19, 2022 |
| Victor Manuel Ayala | Austin, Tx | Aug 31, 2021 | Aug 27, 2021 |
| Chad Salit | Austin, Tx | Sep 3, 2021 | Aug 17, 2021 |
| William Mitchell Mcgee | Southlake, Tx | Sep 13, 2021 | Sep 10, 2021 |
The rule
- Registrations ended
- Aug 19, 2021 to Sep 13, 2021
- Registered next
- Aug 17, 2021 to May 19, 2022
- Branch state
- TX
- Cities
- 2, most in Southlake, Tx
- Registered there that day
- 845 (people still on IAPD; an estimate)
- Share of that headcount
- 0.5%
- 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