DFX Intelligence
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Channel change (one enterprise)
3 advisors moved from V•••• I••••••••• P••••••• L•• to V•••• I••••••••• P•••••••
Not a lift-out: the two CRDs file under the same business name, 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.
independent RIAtono RAUMRIA to a newly registered adviserderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Brett Douglas Guiley | Oklahoma City, Ok | Nov 20, 2023 | Nov 2, 2023 |
| Peter Kuhns Bartel | Oklahoma City, Ok | Nov 20, 2023 | Jan 17, 2024 |
| Stasia Ashmala Veramallay | Oklahoma City, Ok | Nov 20, 2023 | Nov 2, 2023 |
The rule
- Registrations ended
- Nov 20, 2023
- Registered next
- Nov 2, 2023 to Jan 17, 2024
- Branch state
- OK
- Cities
- 1, most in Oklahoma City, Ok
- Registered there that day
- 10 (people still on IAPD; an estimate)
- Share of that headcount
- 30%
- One enterprise because
- the two CRDs file under the same business name
- Succession by the destination
- none on the tape