DFX Intelligence
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Channel change (one enterprise)
2 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 |
|---|---|---|---|
| Mary Jane Ferry | Saint Louis, Mo | Jun 20, 2018 | Jan 4, 2018 |
| Stacey Lynn East | Saint Louis, Mo | Jun 20, 2018 | Nov 3, 2017 |
The rule
- Registrations ended
- Jun 20, 2018
- Registered next
- Nov 3, 2017 to Jan 4, 2018
- Branch state
- MO
- Cities
- 1, most in Saint Louis, Mo
- Registered there that day
- 2 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- 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