DFX Intelligence
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Channel change (one enterprise)
5 advisors moved from S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••
Not a lift-out: both firms report T• A••••••••• Holding Corporation 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.
BD affiliatedtono RAUMOtherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Kenneth Middleton | Westminster, Co | Mar 24, 2018 | Mar 15, 2018 |
| Reginald Lloyd Tomac | Westminster, Co | Mar 24, 2018 | Mar 15, 2018 |
| Thomas Jin Yu Wang | Westminster, Co | Mar 24, 2018 | Mar 15, 2018 |
| Jonathan Alfred Griego | Westminster, Co | Apr 7, 2018 | Apr 7, 2018 |
The rule
- Registrations ended
- Mar 24, 2018 to Apr 7, 2018
- Registered next
- Mar 15, 2018 to Apr 7, 2018
- Branch state
- CO
- Cities
- 1, most in Westminster, Co
- Registered there that day
- 45 (people still on IAPD; an estimate)
- Share of that headcount
- 11%
- One enterprise because
- both firms report T• A••••••••• Holding Corporation as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape