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Firm absorbed
7 advisors left O•••••••• • L••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I•••
independent RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Clifford William Jarvis | West Hartford, Ct | Dec 14, 2018 | Nov 9, 2018 |
| Kenneth Anthony Rizzio | Wethersfield, Ct | Dec 14, 2018 | Nov 9, 2018 |
| Kevin James Losty | West Hartford, Ct | Dec 14, 2018 | Nov 20, 2018 |
| Michael Gerard Lecours | West Hartford, Ct | Dec 14, 2018 | Nov 9, 2018 |
| Richard Ohanesian | W Hartford, Ct | Dec 14, 2018 | Nov 7, 2018 |
| Richard Paul Caruso | Bristol, Ct | Dec 14, 2018 | Nov 9, 2018 |
| Thomas Henry Alexa | Deep River, Ct | Dec 14, 2018 | Nov 9, 2018 |
The rule
- Registrations ended
- Dec 14, 2018
- Registered next
- Nov 7, 2018 to Nov 20, 2018
- Branch state
- CT
- Cities
- 5, most in West Hartford, Ct
- Registered there that day
- 10 (people still on IAPD; an estimate)
- Share of that headcount
- 70%
- 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.