DFX Intelligence
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Channel change (one enterprise)
2 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 |
|---|---|---|---|
| Rico Otway | Forest Hills, Ny | Nov 19, 2020 | Feb 15, 2019 |
| James Keisel | New York, Ny | Nov 24, 2020 | Oct 1, 2019 |
The rule
- Registrations ended
- Nov 19, 2020 to Nov 24, 2020
- Registered next
- Feb 15, 2019 to Oct 1, 2019
- Branch state
- NY
- Cities
- 2, most in Forest Hills, Ny
- Registered there that day
- 1,322 (people still on IAPD; an estimate)
- Share of that headcount
- 0.2%
- One enterprise because
- one firm's name is the other's with a word added
- Succession by the destination
- none on the tape