DFX Intelligence
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Firm absorbed
5 advisors left R•••••••• F•••••••• for C••••••••• W••••• M•••••••••
independent RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Darin Andrew Sevier | Portland, Or | Mar 31, 2022 | Jan 15, 2025 |
| Katelyn Elizabeth Spangler | Portland, Or | Mar 31, 2022 | Oct 11, 2021 |
| Katherine Anne Quick | Portland, Or | Mar 31, 2022 | Oct 12, 2021 |
| Kimberly Sue Rosenberg | Portland, Or | Mar 31, 2022 | Jan 1, 2026 |
| Mark Phillip Rosenbaum | Portland, Or | Mar 31, 2022 | Oct 11, 2021 |
The ruleHow a team is typedA team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, all registering next through the same other firm.The kind is a printed rule, not a judgment: absorbed when half or more of the firm’s registered people moved or a succession names it, channel change when the two CRDs are one enterprise (same name, same 75%+ owner around the move, or one name the other with a word added), large transfer at fifty or more, lift-out otherwise.
- Registrations ended
- Mar 31, 2022
- Registered next
- Oct 11, 2021 to Jan 1, 2026
- Branch state
- OR
- Cities
- 1, most in Portland, Or
- Registered there that day
- 5 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- Succession by the destination
- none on the tape