DFX Intelligence
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Channel change (one enterprise)
4 advisors moved from A•••• A•••••••• to E•• A••••••••
Not a lift-out: both firms report Empirical Finance, 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 RIAtoasset managerOtherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Jessica Dawn Leighty | Newtown Square, Pa | Nov 21, 2023 | Nov 17, 2023 |
| Patrick Russell Cleary | Newtown Square, Pa | Nov 21, 2023 | Nov 19, 2023 |
| Richard Moody Shaner | Newtown Square, Pa | Nov 21, 2023 | Nov 17, 2023 |
| William Joshua Anthony Russell | Newtown Square, Pa | Nov 21, 2023 | Nov 17, 2023 |
The rule
- Registrations ended
- Nov 21, 2023
- Registered next
- Nov 17, 2023 to Nov 19, 2023
- Branch state
- PA
- Cities
- 1, most in Newtown Square, Pa
- Registered there that day
- 9 (people still on IAPD; an estimate)
- Share of that headcount
- 44%
- One enterprise because
- both firms report Empirical Finance, Llc as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape