DFX Intelligence
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Team lift-out
2 advisors left T•••••• C••••••• I••• for S••••• A•••••••• L••
independent RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Alfonso Leo Valdez | Irvine, Ca | Sep 24, 2024 | Sep 25, 2024 |
| Robert Lawrence Wheatley | Irvine, Ca | Sep 24, 2024 | Sep 24, 2024 |
The ruleHow a team is typedA 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.
- Registrations ended
- Sep 24, 2024
- Registered next
- Sep 24, 2024 to Sep 25, 2024
- Branch state
- CA
- Cities
- 1, most in Irvine, Ca
- Registered there that day
- 70 (people still on IAPD; an estimate)
- Share of that headcount
- 2.9%
- Succession by the destination
- a succession within a year (Feb 22, 2024), not necessarily this firm