DFX Intelligence
Advisor teams
Teams that left CRD 283815What 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.
3 teams
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | Solera Asset Managers, LLC unclassified | Sowell Management independent RIA | North Little Rock, Ar | Other | Apr 13, 2023 over 1 d |
| 2 | Solera Asset Managers, LLC unclassified | Sowell Management independent RIA | North Little Rock, Ar | Other | Sep 16, 2020 |
| 2 | Solera Asset Managers, LLC unclassified | Sowell Management independent RIA | Santa Rosa, Ca +1 | Other | Sep 16, 2020 |
derived from registration dates
Page 1 of 1