DFX Intelligence
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Team lift-out
3 advisors left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L••
national BDtoindependent RIAAffiliated broker-dealer or bank to independent RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Mark Joseph White | North Haven, Ct | Jun 13, 2019 | Jun 13, 2019 |
| Russell Paul Karpf | North Haven, Ct | Jun 13, 2019 | Jun 13, 2019 |
| Michael Taverner | North Haven, Ct | Jun 21, 2019 | Jun 13, 2019 |
The rule
- Registrations ended
- Jun 13, 2019 to Jun 21, 2019
- Registered next
- Jun 13, 2019
- Branch state
- CT
- Cities
- 1, most in North Haven, Ct
- Registered there that day
- 8,737 (people still on IAPD; an estimate)
- Share of that headcount
- 0.0%
- 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.