DFX Intelligence
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Firm absorbed
3 advisors left F••••••• W••••• M••••••••• L•• for M••••• W•••••• L••
othertoindependent RIAOtherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Patricia Elizabeth Small | West Haven, Ct | Oct 2, 2020 | Sep 22, 2020 |
| Richard Matthieu Marciano | West Hartford, Ct | Oct 2, 2020 | Aug 11, 2020 |
| Thomas J Filomeno | West Haven, Ct | Oct 2, 2020 | Sep 22, 2020 |
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
- Oct 2, 2020
- Registered next
- Aug 11, 2020 to Sep 22, 2020
- Branch state
- CT
- Cities
- 2, most in West Haven, Ct
- Registered there that day
- 3 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- Succession by the destination
- none on the tape