DFX Intelligence
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Channel change (one enterprise)
3 advisors moved from E•••••• C•••••• M••••••••• L•• to M••••• S••••••
Not a lift-out: both firms report M••••• S•••••• 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 RIAtowirehouseRIA to wirehousederived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Alan Theodore Dehesa | San Diego, Ca | Sep 30, 2022 | Sep 22, 2022 |
| Andrew Chongwoo Kim | Los Angeles, Ca | Sep 30, 2022 | Sep 21, 2022 |
| Steven Do | Cupertino, Ca | Sep 30, 2022 | Sep 21, 2022 |
The rule
- Registrations ended
- Sep 30, 2022
- Registered next
- Sep 21, 2022 to Sep 22, 2022
- Branch state
- CA
- Cities
- 3, most in Cupertino, Ca
- Registered there that day
- 674 (people still on IAPD; an estimate)
- Share of that headcount
- 0.4%
- One enterprise because
- both firms report M••••• S•••••• as a 75%+ owner on Schedule A around the move
- Succession by the destination
- none on the tape