DFX Intelligence
Advisor teams
Teams that left CRD 13980What counts as a teamA team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why.When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out.Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
2 teams
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | Portsmouth Financial Services unclassified | Fiscal Wisdom Wealth Management LLC independent RIA | San Francisco, Ca | Other | Dec 31, 2022 over 9 d |
| 3 | Portsmouth Financial Services unclassified | The Putney Financial Group LLC independent RIA | San Francisco, Ca +1 | Other | Jun 21, 2019 over 3 d |
derived from registration dates
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