DFX Intelligence
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Team lift-out
2 advisors left C•••••••• F••••••••• I••• for L•• F•••••••• L••
BD affiliatedtoBD affiliatedAffiliated broker-dealer or bank to anotherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| James Paul Norris | Glendale, Az | Nov 11, 2024 | Nov 4, 2024 |
| Michael Christopher O'Brien | Glendale, Az | Nov 12, 2024 | Nov 13, 2024 |
The rule
- Registrations ended
- Nov 11, 2024 to Nov 12, 2024
- Registered next
- Nov 4, 2024 to Nov 13, 2024
- Branch state
- AZ
- Cities
- 1, most in Glendale, Az
- Registered there that day
- 405 (people still on IAPD; an estimate)
- Share of that headcount
- 0.5%
- Succession by the destination
- none on the tape
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.