DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Channel change (one enterprise)
2 advisors moved from L••••••• I••••••••• L•• to L••••••• I••••••••• L••
Not a lift-out: the two CRDs file under the same business name, 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.
asset managertoindependent RIAOtherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Brett Richard Sohns | Saratoga Springs, Ny | Jun 29, 2023 | Jul 11, 2024 |
| Taylor P. Sohns | Saratoga Springs, Ny | Jun 29, 2023 | Aug 16, 2023 |
The rule
- Registrations ended
- Jun 29, 2023
- Registered next
- Aug 16, 2023 to Jul 11, 2024
- Branch state
- NY
- Cities
- 1, most in Saratoga Springs, Ny
- Registered there that day
- 2 (people still on IAPD; an estimate)
- Share of that headcount
- 100%
- One enterprise because
- the two CRDs file under the same business name
- Succession by the destination
- none on the tape