DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Channel change (one enterprise)
2 advisors moved from A•••• P•••••• W••••• M••••••••• L•• to C•••••••• W•••••
Not a lift-out: both firms report Focus Financial Partners Inc. 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 |
|---|---|---|---|
| Rachel E. Soka | Albany, Ny | Oct 5, 2023 | Oct 10, 2023 |
| Suzanne Marie Beczak | Albany, Ny | Oct 5, 2023 | Oct 6, 2023 |
The rule
- Registrations ended
- Oct 5, 2023
- Registered next
- Oct 6, 2023 to Oct 10, 2023
- Branch state
- NY
- Cities
- 1, most in Albany, Ny
- Registered there that day
- 12 (people still on IAPD; an estimate)
- Share of that headcount
- 17%
- One enterprise because
- both firms report Focus Financial Partners Inc. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape