DFX Intelligence
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Team lift-out
3 advisors left P••••••••• A••••••• S••••••• L•• for S•••• B••••
othertoindependent RIAOtherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| George Marshall Smith | Santa Barbara, Ca | Sep 30, 2016 | Jul 12, 2016 |
| Rene Louis Bruer | Santa Barbara, Ca | Sep 30, 2016 | Aug 19, 2016 |
| Steven Michael Hiraga | Santa Barbara, Ca | Sep 30, 2016 | Aug 19, 2016 |
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
- Sep 30, 2016
- Registered next
- Jul 12, 2016 to Aug 19, 2016
- Branch state
- CA
- Cities
- 1, most in Santa Barbara, Ca
- Registered there that day
- 29 (people still on IAPD; an estimate)
- Share of that headcount
- 10%
- Succession by the destination
- none on the tape