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 B••••••••• A•••• M••••••••• L•• to B••••••••• W••••• A•••••••• L••
Not a lift-out: both firms report B••••••••• Capital Management Llc 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 |
|---|---|---|---|
| Lies Angela Rusticus | Jenison, Mi | Dec 31, 2021 | Dec 11, 2014 |
| Samuel Mason Westers | Grand Rapids, Mi | Dec 31, 2021 | Jul 21, 2021 |
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
- Dec 31, 2021
- Registered next
- Dec 11, 2014 to Jul 21, 2021
- Branch state
- MI
- Cities
- 2, most in Jenison, Mi
- Registered there that day
- 26 (people still on IAPD; an estimate)
- Share of that headcount
- 7.7%
- One enterprise because
- both firms report B••••••••• Capital Management Llc as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape