DFX Intelligence
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Team lift-out
2 advisors left J••• M••••• S••••••••• L•• for S•••••••• A••••••• L••
wirehousetonational BDWirehouse to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Melanie Clay | San Francisco, Ca | Nov 24, 2017 | Dec 18, 2017 |
| Wei Ye | San Francisco, Ca | Nov 24, 2017 | Mar 13, 2018 |
The rule
- Registrations ended
- Nov 24, 2017
- Registered next
- Dec 18, 2017 to Mar 13, 2018
- Branch state
- CA
- Cities
- 1, most in San Francisco, Ca
- Registered there that day
- 4,412 (people still on IAPD; an estimate)
- Share of that headcount
- 0.0%
- Succession by the destination
- a succession within a year (Mar 28, 2018), not necessarily this firm
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.