DFX Intelligence
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Channel change (one enterprise)
7 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 |
|---|---|---|---|
| Garrett Brandon Niles | Arlington, Va | Aug 11, 2023 | Nov 22, 2022 |
| Mckay Robbins | Arlington, Va | Aug 11, 2023 | Jan 12, 2023 |
| Cheryl N Lorenzo | Arlington, Va | Aug 14, 2023 | Oct 12, 2023 |
| Mark Spencer Merkley | Arlington, Va | Aug 14, 2023 | Jan 11, 2023 |
| Michael Christopher Lowder | Arlington, Va | Aug 14, 2023 | Jan 10, 2023 |
| Shawn M Heckman | Arlington, Va | Aug 14, 2023 | Jan 11, 2023 |
The rule
- Registrations ended
- Aug 11, 2023 to Aug 15, 2023
- Registered next
- Nov 22, 2022 to Oct 12, 2023
- Branch state
- VA
- Cities
- 1, most in Arlington, Va
- Registered there that day
- 596 (people still on IAPD; an estimate)
- Share of that headcount
- 1.2%
- 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