DFX Intelligence
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Team lift-out
2 advisors left J••• M••••• S••••••••• L•• for C•••••••• G••••• M•••••• I•••
wirehousetoBD affiliatedWirehouse to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Sarah-Penelope Grant | Los Angeles, Ca | Jun 25, 2022 | Jul 7, 2022 |
| Minh T. Phan | Santa Monica, Ca | Jul 6, 2022 | Jul 5, 2022 |
The rule
- Registrations ended
- Jun 25, 2022 to Jul 6, 2022
- Registered next
- Jul 5, 2022 to Jul 7, 2022
- Branch state
- CA
- Cities
- 2, most in Los Angeles, Ca
- Registered there that day
- 6,873 (people still on IAPD; an estimate)
- Share of that headcount
- 0.0%
- 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.