DFX Intelligence

RIA Intelligence

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Channel change (one enterprise)

7 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.

no RAUMtono RAUMOtherderived from registration dates
Members
AdvisorBranchLeftRegistered
Todd Christopher KuenAppleton, WiApr 23, 2018Sep 8, 2005
Andrew John MaertzAppleton, WiApr 24, 2018Oct 30, 2014
Bradley Michael ReinkeAppleton, WiApr 24, 2018Jun 26, 2017
Jennifer Ann BrunnerAppleton, WiApr 24, 2018Sep 8, 2005
Jennifer Lyn GroholskiAppleton, WiApr 24, 2018Nov 17, 2011
Jeremy James BurtonAppleton, WiApr 24, 2018Jan 25, 2010
Ronald CrydermanAppleton, WiApr 24, 2018Aug 4, 2014
Thomas Richard SonnentagAppleton, WiApr 24, 2018Sep 9, 2005
The rule
Registrations ended
Apr 23, 2018 to Apr 24, 2018
Registered next
Sep 8, 2005 to Jun 26, 2017
Branch state
WI
Cities
1, most in Appleton, Wi
Registered there that day
15 (people still on IAPD; an estimate)
Share of that headcount
47%
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
Other teams out of S•• I••••••••• I•••Other teams into I••••••••• C•••••• O• A••••••• I•••