DFX Intelligence
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Firm absorbed
3 advisors left H••••• A••••••••• for W••••••••• T•••• A•••••••
independent RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| James Stephen Zoldy | New Haven, Ct | Oct 1, 2019 | Sep 15, 2021 |
| Peter Jonathan Secrist | New Haven, Ct | Oct 1, 2019 | Jan 8, 2024 |
| Thomas Nelson Ellis | New Haven, Ct | Oct 1, 2019 | Sep 15, 2021 |
The rule
- Registrations ended
- Oct 1, 2019
- Registered next
- Sep 15, 2021 to Jan 8, 2024
- Branch state
- CT
- Cities
- 1, most in New Haven, Ct
- Registered there that day
- 3 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- 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.