DFX Intelligence
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Team lift-out
8 advisors left S•••••••• F••••••••• I••• for L•• F•••••••• L••
BD affiliatedtoBD affiliatedAffiliated broker-dealer or bank to anotherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| David Robert Klenske | Carlsbad, Ca | Dec 16, 2019 | Dec 11, 2019 |
| Anthony Peter Ricci | San Diego, Ca | Dec 17, 2019 | Dec 13, 2019 |
| Kenneth Allen Mason | Hamilton City, Ca | Dec 17, 2019 | Dec 16, 2019 |
| Marcia Hope Goldberg | Los Angeles, Ca | Dec 17, 2019 | Dec 13, 2019 |
| Irwin Noah Lowi | Los Angeles, Ca | Dec 20, 2019 | Dec 13, 2019 |
| Dean Mamoru Kumagawa | Los Angeles, Ca | Dec 26, 2019 | Dec 13, 2019 |
| Alan H Berman | Santa Rosa, Ca | Jan 8, 2020 | Jan 3, 2020 |
| Douglas Wayne Cole | Carlsbad, Ca | Jan 13, 2020 | Jan 8, 2020 |
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
- Dec 16, 2019 to Jan 13, 2020
- Registered next
- Dec 11, 2019 to Jan 8, 2020
- Branch state
- CA
- Cities
- 5, most in Los Angeles, Ca
- Registered there that day
- 895 (people still on IAPD; an estimate)
- Share of that headcount
- 0.9%
- Succession by the destination
- none on the tape