DFX Intelligence
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Channel change (one enterprise)
17 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 affiliatedtoBD affiliatedAffiliated broker-dealer or bank to anotherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Christopher David Garcia | Santa Rosa, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Christopher Miles Carter | San Francisco, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Clark Robert Matthiessen | Santa Rosa, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Danielle Beasley | Santa Rosa, Ca | Sep 18, 2024 | Aug 12, 2024 |
| Esteban Rene Zuno | Napa, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Gerlynbee Martinez Buencamino | Sonoma, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Joseph Anthony Turfa | Cloverdale, Ca | Sep 18, 2024 | Jan 6, 2025 |
| Julie Anne Lynch | Petaluma, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Kevin W Onizuka | San Francisco, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Mario A Pometta | Mill Valley, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Michael Jay Septimo | Santa Rosa, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Michael Joseph Defazio | Windsor, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Natalie Rodriguez Gutierrez | Napa, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Sara Elizabeth Crouch | Santa Rosa, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Steven Alan Kerston | Rohnert Park, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Thomas Dale Hubert | Santa Rosa, Ca | Sep 18, 2024 | Sep 19, 2024 |
| Yadira G Bravo | Point Arena, Ca | Sep 18, 2024 | Jan 2, 2025 |
The rule
- Registrations ended
- Sep 18, 2024
- Registered next
- Aug 12, 2024 to Jan 6, 2025
- Branch state
- CA
- Cities
- 9, most in Santa Rosa, Ca
- Registered there that day
- 513 (people still on IAPD; an estimate)
- Share of that headcount
- 3.3%
- 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