DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from W••••••• E•••• • C••••••• I••• to W•••••• W••••• M••••••••• L••
Not a lift-out: both firms report National Holdings Corporation 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 RIAtoindependent RIARIA to RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Mark E Ingram | Boston, Ma | Apr 13, 2021 | Jan 26, 2017 |
| Mark Richard Perry | Boston, Ma | Apr 13, 2021 | Jan 5, 2018 |
The rule
- Registrations ended
- Apr 13, 2021
- Registered next
- Jan 26, 2017 to Jan 5, 2018
- Branch state
- MA
- Cities
- 1, most in Boston, Ma
- Registered there that day
- 18 (people still on IAPD; an estimate)
- Share of that headcount
- 11%
- One enterprise because
- both firms report National Holdings Corporation as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape