DFX Intelligence
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Firm absorbed
6 advisors left F••••••• A•••• M••••••••• for H•••••••• A•••••••• L••
independent RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Andrew Robert Connors | Cleveland, Oh | Sep 11, 2019 | May 13, 2019 |
| Christopher Raymond Isabella | Cleveland, Oh | Sep 11, 2019 | May 14, 2019 |
| Emily Ann Drake | Cleveland, Oh | Sep 11, 2019 | May 13, 2019 |
| Emily Nicole Shacklett | Cleveland, Oh | Sep 11, 2019 | May 14, 2019 |
| Peter Patrick Devito | Cleveland, Oh | Sep 11, 2019 | May 14, 2019 |
| Thomas Arthur Seifert | Cleveland, Oh | Sep 11, 2019 | May 14, 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 11, 2019
- Registered next
- May 13, 2019 to May 14, 2019
- Branch state
- OH
- Cities
- 1, most in Cleveland, Oh
- Registered there that day
- 6 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- Succession by the destination
- none on the tape