DFX Intelligence
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Team lift-out
6 advisors left W•••• F•••• A••••••• for S•••••• I••••••••• G••••
wirehousetoindependent RIAWirehouse to independent RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Brian Douglas Mcgregor | Washington, Dc | Aug 7, 2018 | Aug 24, 2018 |
| Christopher Smith Sargent | Washington, Dc | Aug 7, 2018 | Aug 3, 2018 |
| Samuel Ferguson Beach | Washington, Dc | Aug 7, 2018 | Aug 14, 2018 |
| Thomas Rory Healy | Washington, Dc | Aug 7, 2018 | Sep 10, 2021 |
| Ricardo Martin Rosenberg | Washington, Dc | Aug 9, 2018 | Aug 27, 2018 |
| Suzanne Anita Small | Washington, Dc | Aug 9, 2018 | Aug 3, 2018 |
The rule
- Registrations ended
- Aug 7, 2018 to Aug 9, 2018
- Registered next
- Aug 3, 2018 to Sep 10, 2021
- Branch state
- DC
- Cities
- 1, most in Washington, Dc
- Registered there that day
- 14,256 (people still on IAPD; an estimate)
- Share of that headcount
- 0.0%
- 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.