DFX Intelligence

RIA Intelligence

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Channel change (one enterprise)

19 advisors moved from T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••

Not a lift-out: one firm's name is the other's with a word added, 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
AdvisorBranchLeftRegistered
Adam Ming-Chang LiuPasadena, CaSep 7, 2023Feb 27, 2018
Amanda Louise PicardSacramento, CaSep 7, 2023Feb 27, 2018
Carl WongCupertino, CaSep 7, 2023Feb 27, 2018
Daniel GongCupertino, CaSep 7, 2023Feb 27, 2018
Dustin Glenn SmithSan Diego, CaSep 7, 2023Feb 16, 2018
Garrett Thomas EarlsBrea, CaSep 7, 2023Feb 27, 2018
Jack Ji Kit ChauSan Francisco, CaSep 7, 2023Feb 27, 2018
James Alan MccaugheyIndian Wells, CaSep 7, 2023Feb 27, 2018
Kevin FindlayMission Viejo, CaSep 7, 2023Feb 27, 2018
Kevin Richard QuinlevanSanta Monica, CaSep 7, 2023Oct 3, 2014
Melissa M DragoCupertino, CaSep 7, 2023Feb 27, 2018
Michael Lap-Yan CheungPasadena, CaSep 7, 2023Feb 27, 2018
Quan Wei LeeBrea, CaSep 7, 2023Feb 27, 2018
Richard Daniel ScarpittiPleasanton, CaSep 7, 2023Feb 27, 2018
Ryan Clay SchwartzMission Viejo, CaSep 7, 2023Feb 27, 2018
Scott Kevin CollinsWoodland Hills, CaSep 7, 2023Feb 27, 2018
Stephen Thomas AndruskyIrvine, CaSep 7, 2023Feb 27, 2018
Travis William TurnerSacramento, CaSep 7, 2023Feb 27, 2018
Yuan Kang TangPasadena, CaSep 7, 2023Feb 27, 2018
The rule
Registrations ended
Sep 7, 2023
Registered next
Oct 3, 2014 to Feb 27, 2018
Branch state
CA
Cities
12, most in Pasadena, Ca
Registered there that day
741 (people still on IAPD; an estimate)
Share of that headcount
2.6%
One enterprise because
one firm's name is the other's with a word added
Succession by the destination
none on the tape
Other teams out of T• A••••••••• I••••••••• M••••••••• L••Other teams into T• A••••••••• I•••