DFX Intelligence

RIA Intelligence

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Channel change (one enterprise)

12 advisors moved from T• A••••••••• I••• to C•••••• S••••• • C••• I•••

Not a lift-out: both firms report The C•••••• S••••• Corporation as a 75%+ owner on Schedule A around the move, 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 RAUMtonational BDOtherderived from registration dates
Members
AdvisorBranchLeftRegistered
Jonathon KnightSchaumburg, IlOct 10, 2022Jan 26, 2022
Christine YuChicago, IlOct 14, 2022Jan 26, 2022
Christopher V MercerNorthbrook, IlOct 14, 2022Jan 26, 2022
Eric Jack ZehnderNaperville, IlOct 14, 2022Jan 26, 2022
Jacob G ReinhardtSchaumburg, IlOct 14, 2022Jan 26, 2022
Joseph M McgrawOak Brook, IlOct 14, 2022Jan 25, 2022
Kevin Mark SiemiawskiChicago, IlOct 14, 2022Sep 30, 2022
Lorraine Teresa Gavican KerrChicago, IlOct 14, 2022Aug 30, 2022
Micah L RiskinChicago, IlOct 14, 2022Oct 4, 2022
Nathan Jeffrey NelsonOak Brook, IlOct 14, 2022Jan 26, 2022
Nicholas Mark TheodorakosChicago, IlOct 14, 2022Aug 30, 2022
Philip Matthew CaravaChicago, IlOct 14, 2022Oct 4, 2022
Tommy Neal SilveusEast Alton, IlOct 14, 2022Oct 4, 2022
The rule
Registrations ended
Oct 10, 2022 to Oct 14, 2022
Registered next
Jan 25, 2022 to Oct 4, 2022
Branch state
IL
Cities
6, most in Chicago, Il
Registered there that day
1,238 (people still on IAPD; an estimate)
Share of that headcount
1.0%
One enterprise because
both firms report The C•••••• S••••• Corporation as a 75%+ owner on Schedule A around the move
Succession by the destination
none on the tape
Other teams out of T• A••••••••• I•••Other teams into C•••••• S••••• • C••• I•••