DFX Intelligence
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Team lift-out
3 advisors left P•••• S••••••••• L•• for L•• E••••••••• L••
BD affiliatedtono RAUMAffiliated broker-dealer or bank to a newly registered adviserderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Jim Marvin Hing | San Mateo, Ca | Dec 6, 2024 | Dec 20, 2024 |
| Kevin Lyle Shelton | Sunnyvale, Ca | Dec 6, 2024 | Nov 19, 2024 |
| Siyuan Zhang | San Jose, Ca | Dec 6, 2024 | Jan 22, 2025 |
The rule
- Registrations ended
- Dec 6, 2024
- Registered next
- Nov 19, 2024 to Jan 22, 2025
- Branch state
- CA
- Cities
- 3, most in Sunnyvale, Ca
- Registered there that day
- 50 (people still on IAPD; an estimate)
- Share of that headcount
- 6.0%
- 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.