DFX Intelligence
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Firm absorbed
8 advisors left F•••••••• L•• for L••
independent RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Brian Ray Johnson | Seattle, Wa | Dec 14, 2020 | Dec 4, 2020 |
| James Earl Mahoney | Seattle, Wa | Dec 14, 2020 | Dec 4, 2020 |
| Jerry Thomas Peters | Seattle, Wa | Dec 14, 2020 | Dec 4, 2020 |
| Joseph Norman Levesque | Seattle, Wa | Dec 14, 2020 | Dec 4, 2020 |
| Lin Gong | Seattle, Wa | Dec 14, 2020 | Dec 4, 2020 |
| Scott R. Butterfield | Seattle, Wa | Dec 14, 2020 | Dec 4, 2020 |
| Stephen John Goodwin | Seattle, Wa | Dec 14, 2020 | Dec 4, 2020 |
| Teresa Lynn Lamar | Seattle, Wa | Dec 14, 2020 | Dec 4, 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 14, 2020
- Registered next
- Dec 4, 2020
- Branch state
- WA
- Cities
- 1, most in Seattle, Wa
- Registered there that day
- 8 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- Succession by the destination
- none on the tape