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)
2 advisors moved from S•••••••• F••••••••• I••• to F•• S••••••••• C•••••••••
Not a lift-out: both firms report Osaic Holdings, Inc. 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 |
|---|---|---|---|
| Brooks David Vanderzee | St Petersburg, Fl | Sep 1, 2023 | May 30, 2019 |
| Jennifer Cerra Vawter | Melbourne, Fl | Sep 1, 2023 | Jan 4, 2022 |
The rule
- Registrations ended
- Sep 1, 2023
- Registered next
- May 30, 2019 to Jan 4, 2022
- Branch state
- FL
- Cities
- 2, most in St Petersburg, Fl
- Registered there that day
- 937 (people still on IAPD; an estimate)
- Share of that headcount
- 0.2%
- One enterprise because
- both firms report Osaic Holdings, Inc. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape