DFX Intelligence

RIA Intelligence

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Firm absorbed

10 advisors left K••• P•••••• W•••••• L•• for C••••••

independent RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
AdvisorBranchLeftRegistered
Adam H KatzNew York, NyMar 31, 2023Dec 12, 2022
Benjamin Stephen SaxNew York, NyMar 31, 2023Dec 12, 2022
Boris D YuNew York, NyMar 31, 2023Dec 12, 2022
Chad Albert JaffeeNew York, NyMar 31, 2023Dec 12, 2022
Jennie F SowersNew York, NyMar 31, 2023Dec 12, 2022
Jeremy WittenbergNew York, NyMar 31, 2023Dec 12, 2022
Michael Carl TheesfeldNew York, NyMar 31, 2023Dec 12, 2022
Michael J FinkelNew York, NyMar 31, 2023Dec 12, 2022
Steven George SmithNew York, NyMar 31, 2023Dec 12, 2022
Vivek JindalNew York, NyMar 31, 2023Dec 12, 2022
The rule
Registrations ended
Mar 31, 2023
Registered next
Dec 12, 2022
Branch state
NY
Cities
1, most in New York, Ny
Registered there that day
11 (people still on IAPD; an estimate)
Share of that headcount
91%
Succession by the destination
a succession within a year (Oct 20, 2023), not necessarily this firm
Other teams out of K••• P•••••• W•••••• L••Other teams into C••••••