DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from M••• S••••• F•••••••• S••••••••• L•• to M••• S••••• F•••••••• S••••••••• 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 Jere Malzone | Huntington, Ny | Jul 1, 2020 | Feb 28, 2020 |
| Kaywan Ghazizadeh | New York, Ny | Jul 1, 2020 | Apr 28, 2020 |
The rule
- Registrations ended
- Jul 1, 2020
- Registered next
- Feb 28, 2020 to Apr 28, 2020
- Branch state
- NY
- Cities
- 2, most in Huntington, Ny
- Registered there that day
- 21 (people still on IAPD; an estimate)
- Share of that headcount
- 9.5%
- One enterprise because
- the two CRDs file under the same business name
- Succession by the destination
- none on the tape