DFX Intelligence
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Channel change (one enterprise)
3 advisors moved from A•••• P•••••••• L•• to M•••• W•••••
Not a lift-out: both firms report Ferdinand Ffp Ultimate Holdings, Lp 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 |
|---|---|---|---|
| Connor Michael Mcmahon | Walnut Creek, Ca | Jun 27, 2025 | Apr 14, 2025 |
| Konrad Wolfgang Kern | Walnut Creek, Ca | Jun 27, 2025 | Sep 12, 2023 |
| Michael Edward Spector | Walnut Creek, Ca | Jun 27, 2025 | Oct 2, 2023 |
The rule
- Registrations ended
- Jun 27, 2025
- Registered next
- Sep 12, 2023 to Apr 14, 2025
- Branch state
- CA
- Cities
- 3, most in Walnut Creek, Ca
- Registered there that day
- 22 (people still on IAPD; an estimate)
- Share of that headcount
- 14%
- One enterprise because
- both firms report Ferdinand Ffp Ultimate Holdings, Lp as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape