DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from S•••••••• I••••••••• A•••••••• I••• to S•••••••• I••••••••• A•••••••• I•••
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 RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Alexandra Farquhar Kusler | Tucson, Az | Mar 8, 2021 | Mar 10, 2021 |
| Richard John Zich | Tucson, Az | Mar 8, 2021 | Mar 4, 2021 |
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
- Mar 8, 2021
- Registered next
- Mar 4, 2021 to Mar 10, 2021
- Branch state
- AZ
- Cities
- 1, most in Tucson, Az
- Registered there that day
- 3 (people still on IAPD; an estimate)
- Share of that headcount
- 67%
- One enterprise because
- the two CRDs file under the same business name
- Succession by the destination
- a succession within a year (Jan 29, 2021), not necessarily this firm