DFX Intelligence
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Channel change (one enterprise)
4 advisors moved from S•• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••
Not a lift-out: both firms report Prudential, Plc. as a 75%+ owner on Schedule A around the move, 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.
BD affiliatedtootherOtherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Brian Keith Puddy | Appleton, Wi | Mar 19, 2018 | Jan 2, 2015 |
| Jordan Karl Westphal | Appleton, Wi | Mar 19, 2018 | May 4, 2016 |
The rule
- Registrations ended
- Mar 19, 2018
- Registered next
- Sep 29, 2011 to May 4, 2016
- Branch state
- WI
- Cities
- 1, most in Appleton, Wi
- Registered there that day
- 21 (people still on IAPD; an estimate)
- Share of that headcount
- 19%
- One enterprise because
- both firms report Prudential, Plc. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape