DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from O•••• W•••••• I••• to F•• S••••••••• C•••••••••
Not a lift-out: both firms report O•••• Holdings, Inc. 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 affiliatedtoBD affiliatedAffiliated broker-dealer or bank to anotherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Jehu Francois | Scottsdale, Az | Oct 21, 2022 | Jun 7, 2019 |
| John R Martin | Scottsdale, Az | Oct 26, 2022 | Jul 3, 2018 |
The rule
- Registrations ended
- Oct 21, 2022 to Oct 26, 2022
- Registered next
- Jul 3, 2018 to Jun 7, 2019
- Branch state
- AZ
- Cities
- 1, most in Scottsdale, Az
- Registered there that day
- 1,866 (people still on IAPD; an estimate)
- Share of that headcount
- 0.1%
- One enterprise because
- both firms report O•••• Holdings, Inc. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape