DFX Intelligence
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Team lift-out
2 advisors left S••••• A••••••• I••• for T••••••• S••••••• A•••••••
othertoindependent RIAOtherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Robert James Caplinger | Birmingham, Al | Jan 28, 2016 | Nov 24, 2020 |
| Todd Alan Spille | Birmingham, Al | Jan 28, 2016 | Aug 25, 2020 |
The rule
- Registrations ended
- Jan 28, 2016
- Registered next
- Aug 25, 2020 to Nov 24, 2020
- Branch state
- AL
- Cities
- 1, most in Birmingham, Al
- Registered there that day
- 120 (people still on IAPD; an estimate)
- Share of that headcount
- 1.7%
- Succession by the destination
- none on the tape
A 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.