DFX Intelligence
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Team lift-out
3 advisors left C•••••••• G••••• M•••••• I••• for J••• M••••• S••••••••• L••
BD affiliatedtowirehouseAffiliated broker-dealer or bank to wirehousederived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Frank A Gomez | Santa Clara, Ca | Aug 1, 2023 | Aug 2, 2023 |
| James Patrick Harding | San Francisco, Ca | Aug 14, 2023 | Aug 24, 2023 |
| Jorge Valcarcel | San Francisco, Ca | Aug 14, 2023 | Aug 31, 2023 |
| Olive Siau New Goh | San Francisco, Ca | Aug 14, 2023 | Sep 14, 2023 |
The rule
- Registrations ended
- Aug 1, 2023 to Aug 14, 2023
- Registered next
- Aug 2, 2023 to Sep 14, 2023
- Branch state
- CA
- Cities
- 2, most in San Francisco, Ca
- Registered there that day
- 2,088 (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.