DFX Intelligence

RIA Intelligence

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Channel change (one enterprise)

7 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
AdvisorBranchLeftRegistered
Ashley Christine WintersGreenwood Village, CoOct 4, 2021Sep 15, 2021
Daniel Wade DuboseGreenwood Village, CoOct 4, 2021Sep 23, 2021
Dean R. SpeckerGreenwood Village, CoOct 4, 2021Sep 13, 2021
Erling Bert BrakkeGreenwood Village, CoOct 4, 2021Sep 13, 2021
Martin David EisensteinGreenwood Village, CoOct 4, 2021Jan 6, 2022
Tatiana TsoirGreenwood Village, CoOct 4, 2021Sep 10, 2021
Timothy Scott TerryGreenwood Village, CoOct 4, 2021Sep 12, 2021
William Raymond PerletteGreenwood Village, CoOct 4, 2021Sep 13, 2021
Matthew Louis RzepkaGreenwood Village, CoOct 5, 2021Feb 3, 2025
The rule
Registrations ended
Oct 4, 2021 to Oct 5, 2021
Registered next
Sep 10, 2021 to Feb 3, 2025
Branch state
CO
Cities
1, most in Greenwood Village, Co
Registered there that day
20 (people still on IAPD; an estimate)
Share of that headcount
35%
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
Other teams out of F•••• F•••••••• G••••• I•••Other teams into F•••••••• G•••••• F••••• O••••• S•••••••• L••