DFX Intelligence
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Channel change (one enterprise)
3 advisors moved from D••••••••• L•• to D••••••••• 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 RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Clark Thomas Schweitzer | Wayne, Pa | Nov 4, 2024 | Aug 5, 2024 |
| Michael Todd Horwath | Wayne, Pa | Nov 4, 2024 | Aug 5, 2024 |
| Peter J Hackenbrack | Wayne, Pa | Nov 4, 2024 | Aug 5, 2024 |
The rule
- Registrations ended
- Nov 4, 2024
- Registered next
- Aug 5, 2024
- Branch state
- PA
- Cities
- 1, most in Wayne, Pa
- Registered there that day
- 15 (people still on IAPD; an estimate)
- Share of that headcount
- 20%
- One enterprise because
- the two CRDs file under the same business name
- Succession by the destination
- a succession within a year (Jun 21, 2024), not necessarily this firm