DFX Intelligence

RIA Intelligence

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Firm absorbed

4 advisors left S••••• • H•••••• C•••••• M••••••••• L•• for S••••• F••••• O••••• L••

independent RIAtono RAUMRIA to a newly registered adviserderived from registration dates
Members
AdvisorBranchLeftRegistered
David Carl StokesNew Orleans, LaJul 16, 2019May 30, 2019
Douglas Matthew StokesNew Orleans, LaJul 16, 2019May 30, 2019
Gregory John StokesNew Orleans, LaJul 16, 2019May 30, 2019
Rachael RichardNew Orleans, LaJul 16, 2019May 20, 2019
The rule
Registrations ended
Jul 16, 2019
Registered next
May 20, 2019 to May 30, 2019
Branch state
LA
Cities
1, most in New Orleans, La
Registered there that day
7 (people still on IAPD; an estimate)
Share of that headcount
57%
Succession by the destination
none on the tape
Other teams out of S••••• • H•••••• C•••••• M••••••••• L••Other teams into S••••• F••••• O••••• L••