DFX Intelligence
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Team lift-out
2 advisors left 3• A•••• M••••••••• I••• for 3••• C•••••• M••••••••• L••
independent RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| John Arthur O'Connor | Hartford, Ct | Mar 31, 2021 | Apr 8, 2021 |
| Matthew David Shute | Hartford, Ct | Mar 31, 2021 | Feb 23, 2021 |
The rule
- Registrations ended
- Mar 31, 2021
- Registered next
- Feb 23, 2021 to Apr 8, 2021
- Branch state
- CT
- Cities
- 1, most in Hartford, Ct
- Registered there that day
- 8 (people still on IAPD; an estimate)
- Share of that headcount
- 25%
- Succession by the destination
- a succession within a year (Dec 24, 2020), not necessarily this firm
A 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.