DFX Intelligence
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Channel change (one enterprise)
3 advisors moved from F•••• F•••••••• G••••• I••• to F•••••••• G•••••• F••••• O••••• S•••••••• L••
Not a lift-out: both firms report Financial G•••••• Companies 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 RIAtono RAUMRIA to a newly registered adviserderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Jennifer Lynn Ralston | Temecula, Ca | Oct 4, 2021 | Jan 3, 2025 |
| Jill Ann Henderson | Newberry Park, Ca | Oct 5, 2021 | Sep 16, 2021 |
The rule
- Registrations ended
- Oct 4, 2021 to Oct 5, 2021
- Registered next
- Sep 13, 2021 to Jan 4, 2023
- Branch state
- CA
- Cities
- 3, most in Temecula, Ca
- Registered there that day
- 20 (people still on IAPD; an estimate)
- Share of that headcount
- 15%
- One enterprise because
- both firms report Financial G•••••• Companies as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape