DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from S••••••• W••••• M••••••••• to S••••••• W••••• M•••••••••
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 RIAtono RAUMRIA to a newly registered adviserderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Gregory Richard Thompson | Indianapolis, In | Jan 30, 2023 | Jan 6, 2023 |
| Tia Maria Lee | Indianapolis, In | Jan 30, 2023 | Jan 3, 2023 |
The rule
- Registrations ended
- Jan 30, 2023
- Registered next
- Jan 3, 2023 to Jan 6, 2023
- Branch state
- IN
- Cities
- 1, most in Indianapolis, In
- Registered there that day
- 3 (people still on IAPD; an estimate)
- Share of that headcount
- 67%
- One enterprise because
- the two CRDs file under the same business name
- Succession by the destination
- none on the tape