DFX Intelligence
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Channel change (one enterprise)
7 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
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Nicole Clayton | Omaha, Ne | Nov 29, 2018 | Mar 5, 2018 |
| Brian David Dudley | Omaha, Ne | Dec 10, 2018 | May 19, 2006 |
| Desere Venette Johns | Bellevue, Ne | Dec 10, 2018 | Apr 11, 2014 |
| Eve Wood | Bellevue, Ne | Dec 10, 2018 | Nov 3, 2006 |
| Joseph James Truscott | Omaha, Ne | Dec 10, 2018 | Mar 20, 2008 |
| Morgan A Traylor | Omaha, Ne | Dec 10, 2018 | Oct 24, 2017 |
| Anthony Richard Speth | Omaha, Ne | Dec 19, 2018 | Jan 11, 2018 |
The ruleHow a team is typedA team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, all registering next through the same other firm.The kind is a printed rule, not a judgment: absorbed when half or more of the firm’s registered people moved or a succession names it, channel change when the two CRDs are one enterprise (same name, same 75%+ owner around the move, or one name the other with a word added), large transfer at fifty or more, lift-out otherwise.
- Registrations ended
- Nov 29, 2018 to Dec 19, 2018
- Registered next
- May 19, 2006 to Mar 5, 2018
- Branch state
- NE
- Cities
- 2, most in Omaha, Ne
- Registered there that day
- 1,519 (people still on IAPD; an estimate)
- Share of that headcount
- 0.5%
- One enterprise because
- one firm's name is the other's with a word added
- Succession by the destination
- none on the tape