DFX Intelligence
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Team lift-out
4 advisors left N••• F•••••••• G••••• I••• for S•••••••• F••••••••• I•••
independent RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Chih Hao Ng | Houston, Tx | Aug 30, 2018 | Aug 30, 2018 |
| Cory Prentiss Mccauley | Houston, Tx | Aug 30, 2018 | Aug 30, 2018 |
| Stephen Edward Alexander | Houston, Tx | Aug 30, 2018 | Aug 30, 2018 |
| Thomas Alan Baird | Houston, Tx | Aug 30, 2018 | Aug 30, 2018 |
The ruleHow a team is typedA team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, all registering next through the same other firm.The kind is a printed rule, not a judgment: absorbed when half or more of the firm’s registered people moved or a succession names it, channel change when the two CRDs are one enterprise (same name, same 75%+ owner around the move, or one name the other with a word added), large transfer at fifty or more, lift-out otherwise.
- Registrations ended
- Aug 30, 2018
- Registered next
- Aug 30, 2018
- Branch state
- TX
- Cities
- 1, most in Houston, Tx
- Registered there that day
- 330 (people still on IAPD; an estimate)
- Share of that headcount
- 1.2%
- Succession by the destination
- none on the tape