DFX Intelligence
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Team lift-out
2 advisors left W•••• F•••• A••••••• for R•••••• J•••• • A••••••••• I•••
wirehousetonational BDWirehouse to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Florence Mary Prospero | Waukesha, Wi | Sep 18, 2019 | Sep 16, 2019 |
| James Frederick Alioto | Waukesha, Wi | Sep 18, 2019 | Sep 16, 2019 |
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
- Sep 18, 2019
- Registered next
- Sep 16, 2019
- Branch state
- WI
- Cities
- 1, most in Waukesha, Wi
- Registered there that day
- 14,407 (people still on IAPD; an estimate)
- Share of that headcount
- 0.0%
- Succession by the destination
- none on the tape