DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from T•••• C•••••• M••••••••• L•• to T•••• C•••••• M•••••••••
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 |
|---|---|---|---|
| Abe Nmn Askil | Laguna Niguel, Ca | Jun 29, 2022 | Apr 8, 2022 |
| Arthur Askil | Turlock, Ca | Jun 29, 2022 | Apr 11, 2022 |
The rule
- Registrations ended
- Jun 29, 2022
- Registered next
- Apr 8, 2022 to Apr 11, 2022
- Branch state
- CA
- Cities
- 2, most in Laguna Niguel, Ca
- 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
- a succession within a year (Mar 11, 2022), not necessarily this firm