DFX Intelligence
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Channel change (one enterprise)
7 advisors moved from W••••••••• A••••••• to W••••••••• R••••••••• A•••••••
Not a lift-out: both firms report Nfp Intermediate Holdings B. Corp. 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 RIAtoinstitutionalOtherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Jonathan Howard Maertz | Milwaukee, Wi | Dec 31, 2019 | Apr 4, 2024 |
| Alissa Jean Koebler-Purko | Madison, Wi | Jan 2, 2020 | Oct 13, 2023 |
| Clifton William Horner | Minneapolis, Wi | Jan 2, 2020 | Jul 8, 2019 |
| John Kenneth Richards | Madison, Wi | Jan 2, 2020 | Jun 17, 2019 |
| Justin Louis Goldstein | Madison, Wi | Jan 2, 2020 | Jun 18, 2019 |
| Kayla Marie Pavela | Madison, Wi | Jan 2, 2020 | Jun 26, 2019 |
| Marc Vincent Mcdowell | Madison, Wi | Jan 2, 2020 | Feb 5, 2024 |
The rule
- Registrations ended
- Dec 31, 2019 to Jan 2, 2020
- Registered next
- Jun 17, 2019 to Apr 4, 2024
- Branch state
- WI
- Cities
- 3, most in Madison, Wi
- Registered there that day
- 66 (people still on IAPD; an estimate)
- Share of that headcount
- 11%
- One enterprise because
- both firms report Nfp Intermediate Holdings B. Corp. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape