DFX Intelligence
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Channel change (one enterprise)
5 advisors moved from W•••••••• F•••••••• G••••• I••• to W•••••••• W••••• M••••••••• I•••
Not a lift-out: both firms report W•••••••• Holdings Inc. 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 RIAtono RAUMRIA to a newly registered adviserderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Ruth Ann Barrios | Sun City Center, Fl | Nov 7, 2018 | Jun 21, 2018 |
| Daniel Paul Herrema | Stuart, Fl | Nov 8, 2018 | Jun 20, 2018 |
| William Bruckner | Palm Beach Gardens, Fl | Nov 8, 2018 | Jul 30, 2018 |
| Jay Scott Kramer | Palm Beach Gardens, Fl | Nov 9, 2018 | Jul 18, 2018 |
| Richard Jankus | Deerfield Beach, Fl | Nov 9, 2018 | Sep 7, 2018 |
The rule
- Registrations ended
- Nov 7, 2018 to Nov 9, 2018
- Registered next
- Jun 20, 2018 to Sep 7, 2018
- Branch state
- FL
- Cities
- 4, most in Palm Beach Gardens, Fl
- Registered there that day
- 25 (people still on IAPD; an estimate)
- Share of that headcount
- 20%
- One enterprise because
- both firms report W•••••••• Holdings Inc. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape