DFX Intelligence
RIA Intelligence
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Team lift-out
3 advisors left R•••••• J•••• • A••••••••• I••• for A••••• T••••• S••••••••• L••
national BDtoindependent RIAAffiliated broker-dealer or bank to independent RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Ines Seferi Kasdorf | Boston, Ma | Jan 18, 2024 | Jan 11, 2024 |
| Cory Blaine Schauer | Marblehead, Ma | Jan 29, 2024 | Jan 11, 2024 |
The rule
- Registrations ended
- Jan 18, 2024 to Jan 29, 2024
- Registered next
- Jan 11, 2024 to Jan 12, 2024
- Branch state
- MA
- Cities
- 2, most in Marblehead, Ma
- Registered there that day
- 4,866 (people still on IAPD; an estimate)
- Share of that headcount
- 0.1%
- Succession by the destination
- a succession within a year (Jan 26, 2024), not necessarily this firm
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.