DFX Intelligence
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Firm absorbed
3 advisors left T•••••••• A•••• M••••••••• L•• for C••• S••••• P•••••••
independent RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Casey John Wieczorek | Summit, Nj | Nov 13, 2020 | Jul 1, 2020 |
| Michael Anthony Ciccone | Summit, Nj | Nov 13, 2020 | Jul 15, 2020 |
| Michael Claude Provine | Summit, Nj | Nov 13, 2020 | Jul 9, 2020 |
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
- Nov 13, 2020
- Registered next
- Jul 1, 2020 to Jul 15, 2020
- Branch state
- NJ
- Cities
- 1, most in Summit, Nj
- Registered there that day
- 5 (people still on IAPD; an estimate)
- Share of that headcount
- 60%
- Succession by the destination
- none on the tape