DFX Intelligence
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Team lift-out
5 advisors left C•••••• S••••• • C••• I••• for J••• M••••• S••••••••• L••
national BDtowirehouseAffiliated broker-dealer or bank to wirehousederived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Grace Frances Ngai | San Francisco, Ca | Jan 8, 2024 | Mar 4, 2024 |
| Nicholas Patrick Poshek | Seal Beach, Ca | Jan 9, 2024 | Jan 31, 2024 |
| Franklin Lewis Klein | Campbell, Ca | Jan 10, 2024 | Jun 4, 2024 |
| Dora L Valles | Brea, Ca | Jan 18, 2024 | Jan 10, 2024 |
| Madeline Mccarthy | Stockton, Ca | Jan 18, 2024 | Jan 25, 2024 |
The rule
- Registrations ended
- Jan 8, 2024 to Jan 18, 2024
- Registered next
- Jan 10, 2024 to Jun 4, 2024
- Branch state
- CA
- Cities
- 4, most in Seal Beach, Ca
- Registered there that day
- 5,301 (people still on IAPD; an estimate)
- Share of that headcount
- 0.1%
- 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.