DFX Intelligence
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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 |
|---|---|---|---|
| Jose Valle | Houston, Tx | Aug 7, 2023 | Jan 26, 2022 |
| John Patrick Leyendecker | Westlake, Tx | Aug 14, 2023 | Apr 20, 2023 |
The rule
- Registrations ended
- Aug 7, 2023 to Aug 14, 2023
- Registered next
- Jan 26, 2022 to Apr 20, 2023
- Branch state
- TX
- Cities
- 2, most in Houston, Tx
- Registered there that day
- 752 (people still on IAPD; an estimate)
- Share of that headcount
- 0.3%
- 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