DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from L•• F•••••••• I••• to T•• W••••• M••••••••• A••••••• L••
Not a lift-out: both firms report Loring Ward Holdings Inc. 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.
BD affiliatedtoindependent RIAAffiliated broker-dealer or bank to independent RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Erich Karl Reinhardt | San Jose, Ca | Jan 8, 2019 | Jan 7, 2014 |
| Timothy Mark Wochok | San Jose, Ca | Jan 8, 2019 | Nov 8, 2013 |
The rule
- Registrations ended
- Jan 8, 2019
- Registered next
- Nov 8, 2013 to Jan 7, 2014
- Branch state
- CA
- Cities
- 1, most in San Jose, Ca
- Registered there that day
- 3 (people still on IAPD; an estimate)
- Share of that headcount
- 67%
- One enterprise because
- both firms report Loring Ward Holdings Inc. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape