DFX Intelligence
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Team lift-out
4 advisors left W•••••• • R••• for L•• F•••••••• L••
BD affiliatedtoindependent RIAAffiliated broker-dealer or bank to independent RIAderived from registration dates
Members
| Advisor | Branch | Left | Registered |
|---|---|---|---|
| Jennifer Erin Malone | Kansas City, Mo | Aug 22, 2018 | Aug 21, 2018 |
| Adam Charles Hawley | Kansas City, Mo | Aug 23, 2018 | Aug 21, 2018 |
| Andrew David Rogers | Kansas City, Mo | Aug 23, 2018 | Aug 21, 2018 |
| Stephen Charles Minshull | Kansas City, Mo | Aug 24, 2018 | Aug 21, 2018 |
The rule
- Registrations ended
- Aug 22, 2018 to Aug 24, 2018
- Registered next
- Aug 21, 2018
- Branch state
- MO
- Cities
- 1, most in Kansas City, Mo
- Registered there that day
- 1,284 (people still on IAPD; an estimate)
- Share of that headcount
- 0.3%
- 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.