DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••
Not a lift-out: both firms report S••••••• Financial Group, 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 RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| David Alan Saltzman | Austin, Tx | Aug 10, 2023 | Feb 18, 2016 |
| Jeffrey Thomas Turton | Colleyville, Tx | Aug 10, 2023 | Dec 13, 2018 |
The rule
- Registrations ended
- Aug 10, 2023
- Registered next
- Feb 18, 2016 to Dec 13, 2018
- Branch state
- TX
- Cities
- 2, most in Austin, Tx
- Registered there that day
- 886 (people still on IAPD; an estimate)
- Share of that headcount
- 0.2%
- One enterprise because
- both firms report S••••••• Financial Group, Inc. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape