DFX Intelligence
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Team lift-out
9 advisors left I••••••••• A••••••• A•••• M••••••••• L•• for O•••• W•••••• I•••
independent RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Boyd Mertz Bergen | Blairstown, Nj | Jun 30, 2020 | Sep 11, 2019 |
| James Arthur Rice | West Long Branch, Nj | Jun 30, 2020 | Aug 14, 2019 |
| Jefferey M. Cappelle | Turnersville, Nj | Jun 30, 2020 | Sep 11, 2019 |
| Louis John Monaco | High Bridge, Nj | Jun 30, 2020 | Sep 10, 2019 |
| Patrick Joseph Whelan | West Long Branch, Nj | Jun 30, 2020 | Sep 11, 2019 |
| Thomas Alan Caprio | Kenilworth, Nj | Jun 30, 2020 | Sep 10, 2019 |
| Thomas Andrew Musumeci | Ocean, Nj | Jun 30, 2020 | Sep 19, 2019 |
| Thomas Eugene Musumeci | West Long Branch, Nj | Jun 30, 2020 | Sep 11, 2019 |
| Thomas Paul Jones | Vineland, Nj | Jun 30, 2020 | Sep 11, 2019 |
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
- Jun 30, 2020
- Registered next
- Aug 14, 2019 to Sep 19, 2019
- Branch state
- NJ
- Cities
- 7, most in West Long Branch, Nj
- Registered there that day
- 23 (people still on IAPD; an estimate)
- Share of that headcount
- 39%
- Succession by the destination
- none on the tape