DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from P••••••••• S••••• S••••••••• L•• to P•••• S••••••••• L••
Not a lift-out: both firms report P••••••••• Financial, 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.
independent RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Daniel Joseph Kakach | Plymouth, Mn | Mar 15, 2021 | Mar 15, 2021 |
| Lori Reiman | Plymouth, Mn | Mar 15, 2021 | Mar 15, 2021 |
The rule
- Registrations ended
- Mar 15, 2021
- Registered next
- Mar 15, 2021
- Branch state
- MN
- Cities
- 1, most in Plymouth, Mn
- Registered there that day
- 6 (people still on IAPD; an estimate)
- Share of that headcount
- 33%
- One enterprise because
- both firms report P••••••••• Financial, Inc. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape