RIA Intelligence
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4 advisors moved from W•••• F•••• A••••••• to W•••• F•••• A•••••••
Not a lift-out: the two CRDs file under the same business name, 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.
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Jason Andrews | Greenwich, Ct | Jan 31, 2019 | Jan 31, 2019 |
| Ross Michael Bauer | Greenwich, Ct | Jan 31, 2019 | Jan 31, 2019 |
| Beth Cutler | Greenwich, Ct | Feb 1, 2019 | Feb 1, 2019 |
| William Jesse Brady | Greenwich, Ct | Feb 1, 2019 | Feb 1, 2019 |
- Registrations ended
- Jan 31, 2019 to Feb 1, 2019
- Registered next
- Jan 31, 2019 to Feb 1, 2019
- Branch state
- CT
- Cities
- 1, most in Greenwich, Ct
- Registered there that day
- 14,267 (people still on IAPD; an estimate)
- Share of that headcount
- 0.0%
- One enterprise because
- the two CRDs file under the same business name
- 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.