DFX Intelligence
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Channel change (one enterprise)
9 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 |
|---|---|---|---|
| Scott Christopher Winters | Austin, Tx | Sep 21, 2021 | Sep 10, 2021 |
| John David Pollock | Allen, Tx | Oct 4, 2021 | Sep 10, 2021 |
| Marc David Orourke | Austin, Tx | Oct 4, 2021 | Jan 4, 2023 |
| John Linton Avery | Austin, Tx | Oct 5, 2021 | Sep 21, 2021 |
| Kaili Erin Winters | Austin, Tx | Oct 5, 2021 | Sep 24, 2021 |
| Keith William Weinman | Austin, Tx | Oct 5, 2021 | Sep 10, 2021 |
| Lorne Howard Levy | Austin, Tx | Oct 5, 2021 | Feb 10, 2022 |
| Philip J Kehoe | Austin, Tx | Oct 5, 2021 | Sep 20, 2021 |
The rule
- Registrations ended
- Sep 21, 2021 to Oct 5, 2021
- Registered next
- Sep 10, 2021 to Feb 10, 2022
- Branch state
- TX
- Cities
- 4, most in Austin, Tx
- Registered there that day
- 21 (people still on IAPD; an estimate)
- Share of that headcount
- 43%
- 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