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Team lift-out
2 advisors left W•••••• • R••• for I••••••••• A•••••• A•••••••• L••
BD affiliatedtoi••••••••• wealthAffiliated broker-dealer or bank to independent RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Gregory Edward Alft | Hamden, Ct | May 22, 2019 | May 21, 2019 |
| David Allen Kroeninger | Hamden, Ct | May 23, 2019 | May 21, 2019 |
The rule
- Registrations ended
- May 22, 2019 to May 23, 2019
- Registered next
- May 21, 2019
- Branch state
- CT
- Cities
- 1, most in Hamden, Ct
- Registered there that day
- 1,228 (people still on IAPD; an estimate)
- Share of that headcount
- 0.2%
- 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.