DFX Intelligence
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Channel change (one enterprise)
3 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 |
|---|---|---|---|
| Daren Taruo Suzuki | Honolulu, Hi | Nov 25, 2024 | Nov 22, 2024 |
| Lester John De Peralta | Waipahu, Hi | Nov 25, 2024 | Nov 26, 2024 |
| Stacy Sachie Miyasato-Foster | Pearl City, Hi | Nov 25, 2024 | Nov 22, 2024 |
The rule
- Registrations ended
- Nov 25, 2024
- Registered next
- Nov 22, 2024 to Nov 26, 2024
- Branch state
- HI
- Cities
- 3, most in Honolulu, Hi
- Registered there that day
- 492 (people still on IAPD; an estimate)
- Share of that headcount
- 0.6%
- 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