DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Team lift-out
2 advisors left C•••••••• G••••• M•••••• I••• for W•••• F•••• A•••••••
BD affiliatedtowirehouseAffiliated broker-dealer or bank to wirehousederived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Luis Ramirez | Greenwich, Ct | Apr 12, 2024 | Nov 19, 2024 |
| Nancy Elizabeth Sheerin-Floros | Greenwich, Ct | Apr 15, 2024 | Jul 5, 2024 |
| Stephen Thomas Kelly | Stamford, Ct | Apr 18, 2024 | Sep 16, 2024 |
| Julissa M Nunez Jaquez | Greenwich, Ct | Apr 30, 2024 | Apr 22, 2024 |
The rule
- Registrations ended
- Apr 12, 2024 to Apr 15, 2024
- Registered next
- Jul 5, 2024 to Nov 19, 2024
- Branch state
- CT
- Cities
- 1, most in Greenwich, Ct
- Registered there that day
- 2,189 (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.