DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
Not a lift-out: both firms report Lpl 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.
BD affiliatedtoindependent RIAAffiliated broker-dealer or bank to independent RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Kevin Clifford Rucker | San Francisco, Ca | Mar 14, 2022 | Mar 15, 2022 |
| Stephen Mark Seewer | San Francisco, Ca | Mar 14, 2022 | Mar 15, 2022 |
The rule
- Registrations ended
- Mar 14, 2022
- Registered next
- Mar 15, 2022
- Branch state
- CA
- Cities
- 1, most in San Francisco, Ca
- Registered there that day
- 447 (people still on IAPD; an estimate)
- Share of that headcount
- 0.4%
- One enterprise because
- both firms report Lpl Holdings, Inc. as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape