DFX Intelligence
RIA Intelligence
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Firm absorbed
9 advisors left C••••• • M•••••••• I••• for I••••••••• W••••• C••••••• L••
independent RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Andrew Seymour Adil | Simsbury, Ct | Jul 12, 2021 | Jul 12, 2021 |
| Bernard Gerard Sandford | Simsbury, Ct | Jul 12, 2021 | Jul 13, 2021 |
| David Ross Neal | Stafford Springs, Ct | Jul 12, 2021 | Jul 12, 2021 |
| David Scott Coburn | Simsbury, Ct | Jul 12, 2021 | Jul 12, 2021 |
| Douglas Michael Turner | South Windsor, Ct | Jul 12, 2021 | Jul 12, 2021 |
| John Seaford Derway | Simsbury, Ct | Jul 12, 2021 | Jul 12, 2021 |
| Leslie Erica Archambault | Simsbury, Ct | Jul 12, 2021 | Jul 12, 2021 |
| Martin Stephen Bodner | Simsbury, Ct | Jul 12, 2021 | Jul 12, 2021 |
| Robert Edward Mulhaul | Simsbury, Ct | Jul 12, 2021 | Jul 13, 2021 |
The rule
- Registrations ended
- Jul 12, 2021
- Registered next
- Jul 12, 2021 to Jul 13, 2021
- Branch state
- CT
- Cities
- 3, most in Simsbury, Ct
- Registered there that day
- 15 (people still on IAPD; an estimate)
- Share of that headcount
- 60%
- Succession by the destination
- none on the tape
A 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.