DFX Intelligence
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Team lift-out
5 advisors left R•••••• J•••• • A••••••••• I••• for L•• F•••••••• L••
national BDtoindependent RIAAffiliated broker-dealer or bank to independent RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Christopher Duane Story | Decatur, Al | Oct 6, 2022 | Oct 5, 2022 |
| Joseph Martin Montgomery | Decatur, Al | Oct 6, 2022 | Oct 5, 2022 |
| Samuel Walter Jones | Decatur, Al | Oct 6, 2022 | Oct 5, 2022 |
| Taylor Davis Roberts | Decatur, Al | Oct 6, 2022 | Oct 4, 2022 |
| Jacob Warner Wagaman | Huntsville, Al | Oct 10, 2022 | Nov 16, 2022 |
The rule
- Registrations ended
- Oct 6, 2022 to Oct 10, 2022
- Registered next
- Oct 4, 2022 to Nov 16, 2022
- Branch state
- AL
- Cities
- 2, most in Decatur, Al
- Registered there that day
- 4,490 (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.