DFX Intelligence
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Team lift-out
4 advisors left T•••••• P•••• A•••••••• L•• for A•••• Z••• L••
independent RIAtono RAUMRIA to a newly registered adviserderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Anthony Walter Leone | Wilton, Ct | May 6, 2022 | Jun 21, 2022 |
| Eric Mechler | Wilton, Ct | May 6, 2022 | May 6, 2022 |
| John Augustin Sullivan | Wilton, Ct | May 6, 2022 | May 6, 2022 |
| Jordan Michael Grabowski | Wilton, Ct | May 6, 2022 | Jul 5, 2022 |
The rule
- Registrations ended
- May 6, 2022
- Registered next
- May 6, 2022 to Jul 5, 2022
- Branch state
- CT
- Cities
- 1, most in Wilton, Ct
- Registered there that day
- 11 (people still on IAPD; an estimate)
- Share of that headcount
- 36%
- Succession by the destination
- a succession within a year (Oct 7, 2022), not necessarily this firm
A 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.