DFX Intelligence
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Channel change (one enterprise)
7 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
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Alexis Sabrina Garza | Omaha, Ne | Oct 19, 2021 | Oct 4, 2021 |
| Andrew J Richter | Omaha, Ne | Oct 20, 2021 | Oct 7, 2021 |
| Chuck Wong | Omaha, Ne | Oct 20, 2021 | Sep 23, 2021 |
| Gregory Joseph Oconnell | Omaha, Ne | Oct 20, 2021 | Oct 4, 2021 |
| Joel Timothy Wing | Omaha, Ne | Oct 20, 2021 | Sep 28, 2021 |
| Stephen Koy Tapp | Omaha, Ne | Oct 20, 2021 | Oct 4, 2021 |
| William Eric Marney | Omaha, Ne | Oct 20, 2021 | Oct 4, 2021 |
The ruleHow a team is typedA 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.
- Registrations ended
- Oct 19, 2021 to Oct 20, 2021
- Registered next
- Sep 23, 2021 to Oct 7, 2021
- Branch state
- NE
- Cities
- 1, most in Omaha, Ne
- Registered there that day
- 1,164 (people still on IAPD; an estimate)
- Share of that headcount
- 0.6%
- 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