DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Team lift-out
2 advisors left U•• F•••••••• S••••••• I••• for R•••••• J•••• • A••••••••• I•••
wirehousetonational BDWirehouse to affiliated broker-dealer or bankderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Richard B. Austin | Montgomery, Al | Oct 21, 2019 | Oct 10, 2019 |
| Richard Barrett Austin | Montgomery, Al | Oct 21, 2019 | Aug 26, 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 21, 2019
- Registered next
- Oct 10, 2019 to Aug 26, 2021
- Branch state
- AL
- Cities
- 1, most in Montgomery, Al
- Registered there that day
- 7,871 (people still on IAPD; an estimate)
- Share of that headcount
- 0.0%
- Succession by the destination
- none on the tape