DFX Intelligence
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Firm absorbed
4 advisors left H•••• F••••••••• I••• for M••••••
independent RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Clare Raleigh | San Jose, Ca | Feb 7, 2023 | Dec 19, 2022 |
| Daniel Glenn Newman | San Jose, Ca | Feb 7, 2023 | Dec 19, 2022 |
| Ingrid Shang-Ying Yeh | San Jose, Ca | Feb 7, 2023 | Dec 21, 2022 |
| Zachary Daniel Hayes | San Jose, Ca | Feb 7, 2023 | Dec 19, 2022 |
The ruleHow a team is typedA team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, all registering next through the same other firm.The kind is a printed rule, not a judgment: absorbed when half or more of the firm’s registered people moved or a succession names it, channel change when the two CRDs are one enterprise (same name, same 75%+ owner around the move, or one name the other with a word added), large transfer at fifty or more, lift-out otherwise.
- Registrations ended
- Feb 7, 2023
- Registered next
- Dec 19, 2022 to Dec 21, 2022
- Branch state
- CA
- Cities
- 1, most in San Jose, Ca
- Registered there that day
- 4 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- Succession by the destination
- none on the tape