DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from P•••••• C•••••• M••••••••• L•• to U•• F•••••••• S•••••••• I•••
Not a lift-out: both firms report Umb Financial Corporation 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.
mixed wealthtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Brian Nelson Kaufman | Kansas City, Mo | Apr 12, 2021 | Jun 22, 2011 |
| Michael Mueller Gentry | Kansas City, Mo | Apr 12, 2021 | Jul 15, 2014 |
The rule
- Registrations ended
- Apr 12, 2021
- Registered next
- Jun 22, 2011 to Jul 15, 2014
- Branch state
- MO
- Cities
- 1, most in Kansas City, Mo
- Registered there that day
- 15 (people still on IAPD; an estimate)
- Share of that headcount
- 13%
- One enterprise because
- both firms report Umb Financial Corporation as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape