DFX Intelligence
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Team lift-out
3 advisors left L•••••• I••••••••• for C•••••• A•••••••
independent RIAtoBD affiliatedRIA to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Daniel Patrick Condon | New Preston, Ct | Sep 26, 2022 | Oct 2, 2020 |
| Paul Shortier | Farmington, Ct | Sep 26, 2022 | Mar 10, 2017 |
| Attilio Anthony Foschini | Farmington, Ct | Sep 27, 2022 | Mar 10, 2015 |
The rule
- Registrations ended
- Sep 26, 2022 to Sep 27, 2022
- Registered next
- Mar 10, 2015 to Jan 7, 2020
- Branch state
- CT
- Cities
- 1, most in Farmington, Ct
- Registered there that day
- 811 (people still on IAPD; an estimate)
- Share of that headcount
- 0.4%
- Succession by the destination
- none on the tape
A 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.