DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Channel change (one enterprise)
2 advisors moved from P••••• F•••••••• A••••••• to P••••• F•••••••• A••••••• L••
Not a lift-out: the two CRDs file under the same business name, 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 RAUMRIA to a newly registered adviserderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Charles Lee Parker | Houston, Tx | Dec 31, 2019 | Sep 17, 2019 |
| Joseph Leonard Klingen | Houston, Tx | Dec 31, 2019 | Sep 20, 2019 |
The rule
- Registrations ended
- Dec 31, 2019
- Registered next
- Sep 17, 2019 to Sep 20, 2019
- Branch state
- TX
- Cities
- 1, most in Houston, Tx
- Registered there that day
- 2 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- One enterprise because
- the two CRDs file under the same business name
- Succession by the destination
- none on the tape