DFX Intelligence
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Firm absorbed
4 advisors left T•••••••• C•••••• M••••••••• L•• for T•••••••• A•••• M••••••••• L••
independent RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Benjamin Cary Halliburton | Summit, Nj | Dec 10, 2019 | May 20, 2019 |
| Casey John Wieczorek | Summit, Nj | Dec 10, 2019 | May 28, 2019 |
| Frani Michele Feit | Summit, Nj | Dec 10, 2019 | May 28, 2019 |
| Michael Claude Provine | Summit, Nj | Dec 10, 2019 | May 8, 2019 |
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
- Dec 10, 2019
- Registered next
- May 8, 2019 to May 28, 2019
- Branch state
- NJ
- Cities
- 1, most in Summit, Nj
- Registered there that day
- 4 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- Succession by the destination
- a succession within a year (Aug 20, 2019), not necessarily this firm