DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from B•• S••••••••• L•• to B•• I••••••••• A•••••••
Not a lift-out: both firms report Bhk Holdings, Llc 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.
independent RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Charles Mitchell Smith | Birmingham, Al | Sep 6, 2019 | Aug 19, 2014 |
| Joseph Christopher Mason | Birmingham, Al | Sep 6, 2019 | Mar 26, 2008 |
The rule
- Registrations ended
- Sep 6, 2019
- Registered next
- Mar 26, 2008 to Aug 19, 2014
- Branch state
- AL
- Cities
- 1, most in Birmingham, Al
- Registered there that day
- 6 (people still on IAPD; an estimate)
- Share of that headcount
- 33%
- One enterprise because
- both firms report Bhk Holdings, Llc as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape