DFX Intelligence
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Channel change (one enterprise)
2 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 |
|---|---|---|---|
| Jason Lyons | San Diego, Ca | Aug 10, 2023 | Mar 23, 2023 |
| Mason Allen Bartlett | San Diego, Ca | Aug 11, 2023 | Oct 11, 2023 |
| James T Katikos | Roseville, Ca | Aug 14, 2023 | Jan 4, 2023 |
The rule
- Registrations ended
- Aug 10, 2023 to Aug 11, 2023
- Registered next
- Mar 23, 2023 to Oct 11, 2023
- Branch state
- CA
- Cities
- 1, most in San Diego, Ca
- Registered there that day
- 600 (people still on IAPD; an estimate)
- Share of that headcount
- 0.3%
- 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