DFX Intelligence
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Channel change (one enterprise)
2 advisors moved from T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
Not a lift-out: one firm's name is the other's with a word added, so the two CRDs are one enterprise and nobody left anyone. A channel switch, an integration after an acquisition or an affiliate transfer. Never counted as a team in or out.
no RAUMtoindependent RIAOtherderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Bradley W. Petty | Mission Viejo, Ca | Oct 24, 2018 | Jul 28, 2014 |
| Scott William Riesen | Santa Barbara, Ca | Nov 6, 2018 | Jan 30, 2009 |
The rule
- Registrations ended
- Oct 24, 2018 to Nov 6, 2018
- Registered next
- Jul 28, 2014 to Aug 16, 2016
- Branch state
- CA
- Cities
- 2, most in Mission Viejo, Ca
- Registered there that day
- 1,666 (people still on IAPD; an estimate)
- Share of that headcount
- 0.1%
- One enterprise because
- one firm's name is the other's with a word added
- Succession by the destination
- none on the tape