DFX Intelligence
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Firm absorbed
9 advisors left F•••• W•••••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I••
independent RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Andrew Jay Brown | Draper, Ut | Sep 27, 2019 | Sep 26, 2019 |
| Cole Alan Cooper | Salt Lake City, Ut | Sep 27, 2019 | Sep 30, 2019 |
| Eric Calvin Wallace | Salt Lake City, Ut | Sep 27, 2019 | Sep 27, 2019 |
| Kevin Vern Grow | Holladay, Ut | Sep 27, 2019 | Sep 27, 2019 |
| Richard Kenneth Bingham | Holladay, Ut | Oct 1, 2019 | Oct 1, 2019 |
| Scott Miller Kimball | Ogden, Ut | Oct 1, 2019 | Sep 30, 2019 |
| Roger Gary Larsen | Salt Lake City, Ut | Oct 2, 2019 | Oct 3, 2019 |
| Joshua Charles Liljenquist | Holladay, Ut | Oct 11, 2019 | Oct 10, 2019 |
| Gary Wayne Teran | Salt Lake City, Ut | Oct 24, 2019 | Sep 26, 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
- Sep 27, 2019 to Oct 24, 2019
- Registered next
- Sep 26, 2019 to Oct 10, 2019
- Branch state
- UT
- Cities
- 4, most in Salt Lake City, Ut
- Registered there that day
- 11 (people still on IAPD; an estimate)
- Share of that headcount
- 82%
- Succession by the destination
- none on the tape