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)
3 advisors moved from S•• A•••••••• I••• to A•••• P•••• A•••••••
Not a lift-out: both firms report Ag Parent Corp. as a 75%+ owner on Schedule A around the move, 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.
BD affiliatedtoBD affiliatedAffiliated broker-dealer or bank to anotherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| James Samuel Burcham | Dunkirk, Md | Sep 18, 2020 | Sep 18, 2020 |
| John Joseph Cvach | Centerville, Md | Sep 18, 2020 | Sep 18, 2020 |
| Karl Joseph Korade | Frederick, Md | Sep 18, 2020 | Sep 18, 2020 |
The rule
- Registrations ended
- Sep 18, 2020
- Registered next
- Sep 18, 2020
- Branch state
- MD
- Cities
- 3, most in Dunkirk, Md
- Registered there that day
- 157 (people still on IAPD; an estimate)
- Share of that headcount
- 1.9%
- One enterprise because
- both firms report Ag Parent Corp. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape