DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from D••••• W•••••• L•• to D••••• W•••••• L••
Not a lift-out: the two CRDs file under the same business name, 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 |
|---|---|---|---|
| John Frederick Desimone | Peabody, Ma | Mar 25, 2019 | Oct 10, 2018 |
| Myranda Jane Obara | Peabody, Ma | Mar 25, 2019 | Oct 10, 2018 |
The rule
- Registrations ended
- Mar 25, 2019
- Registered next
- Oct 10, 2018
- Branch state
- MA
- Cities
- 1, most in Peabody, Ma
- Registered there that day
- 9 (people still on IAPD; an estimate)
- Share of that headcount
- 22%
- One enterprise because
- the two CRDs file under the same business name
- Succession by the destination
- a succession within a year (Sep 6, 2018), not necessarily this firm