DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from T•• P•••••• A••••••• to T•• P•••••• A•••••••
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 RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Kelly Jeanne Hokanson | Kansas City, Mo | Jun 29, 2020 | Jun 24, 2020 |
| Stephanie Lyn Guerin | Kansas City, Mo | Jun 29, 2020 | Jun 24, 2020 |
The rule
- Registrations ended
- Jun 29, 2020
- Registered next
- Jun 24, 2020
- Branch state
- MO
- Cities
- 1, most in Kansas City, Mo
- Registered there that day
- 2 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- One enterprise because
- the two CRDs file under the same business name
- Succession by the destination
- a succession within a year (May 19, 2020), not necessarily this firm