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
Aaron LinBrooklyn, NySep 7, 2023Feb 27, 2018
Alex ShvartsmanSmithtown, NySep 7, 2023Feb 27, 2018
Andrew PaczkowskiGarden City, NySep 7, 2023Feb 27, 2018
Borui ZhangManhasset, NySep 7, 2023Feb 27, 2018
Brett James HolleyPittsford, NySep 7, 2023Feb 27, 2018
Bruce MonacoHuntington Station, NySep 7, 2023Feb 28, 2018
Chad Robert EspositoLake Grove, NySep 7, 2023Feb 27, 2018
Daniel H PakNew York, NySep 7, 2023Sep 15, 2017
Edward Joseph BuddAlbany, NySep 7, 2023Feb 27, 2018
Javier Elias LopezNew York, NySep 7, 2023Oct 20, 2016
Jonathan Vincent MarzellaBrooklyn, NySep 7, 2023Feb 27, 2018
Keith GardnerNew York, NySep 7, 2023Feb 27, 2018
Kwai Yun ChanGarden City, NySep 7, 2023Feb 27, 2018
Michael Anthony CapozziAmherst, NySep 7, 2023Feb 27, 2018
Peter David GoldHuntington Station, NySep 7, 2023Sep 17, 2013
Robert A FrettoLatham, NySep 7, 2023Feb 1, 2019
Sandeep DuttaGarden City, NySep 7, 2023Feb 27, 2018
Stephen RockhillDewitt, NySep 7, 2023Feb 28, 2018
Thomas Joseph DuclosAlbany, NySep 7, 2023Feb 27, 2018
The rule
Registrations ended
Sep 7, 2023
Registered next
Sep 17, 2013 to Feb 1, 2019
Branch state
NY
Cities
11, most in New York, Ny
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•••