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CRD 249
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-08-21 (filing); first seen by DFX 2026-09-15.
Dated 2026-07-17 (filing); first seen by DFX 2026-09-15.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| BRIAN DONALD SAYERS | n/a | PLANO, TX | DALLAS, TX | 23 | 43 | 1 | yes |
| SHEFF DANIEL OLINGER | n/a | DOBSON, NC | DALLAS, TX | 23 | 42 | 1 | yes |
| MARK WILLIAM WEINBERG | n/a | LOS ANGELES, CA | LAS VEGAS, NV | LAGUNA BEACH, CA | 23 | 40 | 1 | yes |
| STEVEN KIRK LAUTERBACH | n/a | DALLAS, TX | BURNSVILLE, NC | MCKINNEY, TX | 23 | 39 | 1 | yes |
| JEFFREY ALAN RIVLIN | n/a | DELRAY BEACH, FL | ST. PETERSBURG, FL | PALM BEACH, FL | BOCA RATON, FL | 23 | 38 | 1 | yes |
| RAYMOND MARTIN FAUPEL | n/a | ST. LOUIS, MO | CHESTERFIELD, MO | 23 | 46 | 1 | yes |
| JACKIE LEA ABELS | n/a | OLIVETTE, MO | ST. LOUIS, MO | 23 | 32 | 1 | yes |
| MARCIE KAYE MAYER | n/a | NEW YORK, NY | BELLEVUE, WA | RENTON, WA | 23 | 27 | 1 | yes |
| RODNEY FREDERICK NOCK | n/a | BOWERSVILLE, GA | FORT LAUDERDALE, FL | 23 | 44 | 2 | yes |
| GEORGE THOMAS EBENHACK | n/a | CARLSBAD, CA | NEWPORT BEACH, CA | 23 | 47 | 1 | yes |
| STEVEN EDWARD EGAN | n/a | CHICAGO, IL | RIVERSIDE, IL | 23 | 46 | 1 | yes |
| JOHN ERNEST GILCHRIST | n/a | BONITA SPRINGS, FL | CORAL GABLES, FL | 23 | 41 | 1 | yes |
| ROBERT ALLEN MANDELL | Certified Financial Planner | CHICAGO, IL | EVANSTON, IL | BOYNTON BEACH, FL | 23 | 47 | 1 | yes |
| RONALD JACOB ALLISON | n/a | CHELAN, WA | BELLEVUE, WA | 23 | 45 | 1 | yes |
| WIM ANTONIUS SCHUT | n/a | BELLEVUE, WA | REDMOND, WA | 23 | 46 | 1 | yes |
| PAUL THEODORE CASALI | n/a | LITCHFIELD, CT | 23 | 38 | n/a | yes |
| MARGUERITE ELIZABETH TOMEO | n/a | SOUTHBURY, CT | AVON, CT | 23 | 48 | n/a | yes |
| RANDY FARZIN MOSHTAEL | n/a | LOS ANGELES, CA | 23 | 44 | 2 | yes |
| HAROLD LOYD PERKINS | n/a | HOUSTON, TX | 22 | 45 | n/a | yes |
| SANDRA LEE BERSHAD | n/a | DALLAS, TX | NEW YORK, NY | 22 | 27 | n/a | yes |
| JOHN ROBERT SHELTON | n/a | LEAWOOD, KS | 22 | 44 | 1 | yes |
| MARCIA LINDSEY LOCHER | n/a | HOUSTON, TX | 22 | 40 | 1 | yes |
| ERNEST SEAN MISHNE | n/a | BEACHWOOD, OH | 22 | 35 | n/a | yes |
| DANIEL JASON ISRAELITE | n/a | CHICAGO, IL | 22 | 22 | n/a | yes |
| JOHN MICHAEL LEGG | n/a | TOPEKA, KS | LEAWOOD, KS | 22 | 46 | n/a | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| OPPENHEIMER ACTIVIST PARTNERS LP | Hedge Fund | $13.9M | Jul 18, 2024 | 21 | Mar 7, 2012 | dropped | 021-87240 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR/DIRECTOR | Na | yes | 03/2025 | Jun 23, 2026 | Jun 23, 2026 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | Na | yes | 01/2025 | Jun 23, 2026 | Jun 23, 2026 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | Na | yes | 02/2019 | Jun 23, 2026 | Jun 23, 2026 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN- PHASE II FIN'L | Na | yes | 05/2025 | Jun 23, 2026 | Jun 23, 2026 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | Na | yes | 05/2025 | Jun 23, 2026 | Jun 23, 2026 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | Na | yes | 01/2006 | Jun 23, 2026 | Jun 23, 2026 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | Na | yes | 04/2020 | Jun 23, 2026 | Jun 23, 2026 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | Na | yes | 10/2025 | Jun 23, 2026 | Jun 23, 2026 |
| VINER FINANCE INC. | PARENT CO. | E | yes | 10/1983 | Jun 23, 2026 | Jun 23, 2026 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | Na | yes | 08/2022 | Jun 23, 2026 | Jun 23, 2026 |
| BENEDETTO, JOHN ANTHONY | Director | Na | yes | 04/2014 | Apr 23, 2014 | Jul 18, 2024 |
| E.A. VINER INTERNATIONAL CO. | HOLDING CO. | E | yes | 10/1983 | Mar 7, 2012 | Jul 18, 2024 |
| LOWENTHAL, ALBERT GRINSFELDER | OWNS 100% | E | yes | 10/1985 | Mar 7, 2012 | Jul 18, 2024 |
| OPPENHEIMER HOLDINGS INC. | COMMON STOCK | E | yes | 10/1983 | Mar 7, 2012 | Jul 18, 2024 |
| PHASE II FINANCIAL INC. | OWNS CLASS B VOTING STOCK OF OPPENHEIMER HOLDINGS. | E | yes | 10/1985 | Mar 7, 2012 | Jul 18, 2024 |
| SIEGEL, DOUGLAS THORNLEY | CHIEF COMPLIANCE OFFICER | Na | yes | 02/2016 | Mar 22, 2016 | Jul 18, 2024 |
| MCGUIRE, JOHN THOMAS | MANAGING DIRECTOR/DEPUTY GENERAL COUNSEL- DIRECTOR OF LITIGATION | Na | no | 01/2007 | Mar 7, 2012 | Jul 18, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| OPPENHEIMER ASSET MANAGEMENT INC. | n/a | Bd affiliated wealth | $21B | N | yes | n/a |
| ADVANTAGE ADVISERS MULTI-MANAGER, L.L.C. | n/a | Asset manager | $4.9B | N | yes | n/a |
| OPPENHEIMER INVESTMENT MANAGEMENT LLC | n/a | Other adviser | $929M | N | yes | n/a |
| ADVANTAGE ADVISERS MANAGEMENT, LLC | n/a | Asset manager | $469M | N | yes | n/a |
| OPPENHEIMER ALTERNATIVE INVESTMENT MANAGEMENT, LLC | n/a | Asset manager | $178M | N | yes | n/a |
| FREEDOM INVESTMENTS, INC. | n/a | n/a | n/a | Y | yes | n/a |
| OPCO ACTIVIST LLC | n/a | n/a | n/a | Y | yes | n/a |
| OPPENHEIMER EUROPE LTD | n/a | n/a | n/a | N | yes | n/a |
| OPPENHEIMER INVESTMENTS ASIA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| OPPENHEIMER ISRAEL (OPCO) LTD | n/a | n/a | n/a | Y | yes | n/a |
| OPPENHEIMER LIFE AGENCY, LTD. | n/a | n/a | n/a | Y | yes | n/a |
| OPPENHEIMER TRUST COMPANY INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 93 | yes |
| Chicago | IL | United States | 61 | yes |
| LOS ANGELES | CA | United States | 45 | yes |
| CORAL GABLES | FL | United States | 38 | yes |
| Bellevue | Wa | United States | 38 | yes |
| ST. LOUIS | Mo | United States | 37 | yes |
| Houston | TX | United States | 36 | yes |
| Boston | Ma | United States | 29 | yes |
| Stamford | Ct | United States | 28 | yes |
| SAN FRANCISCO | CA | United States | 24 | yes |
| Washington | Dc | United States | 24 | yes |
| FORT LAUDERDALE | FL | United States | 22 | yes |
| BOCA RATON | FL | United States | 21 | yes |
| Jenkintown | Pa | United States | 20 | yes |
| Asheville | Nc | United States | 18 | yes |
| Atlanta | Ga | United States | 17 | yes |
| Birmingham | Mi | United States | 16 | yes |
| Melville | NY | United States | 16 | yes |
| FLORHAM PARK | Nj | United States | 14 | yes |
| Dallas | TX | United States | 14 | yes |
| Jericho | NY | United States | 13 | yes |
| NEWPORT BEACH | CA | United States | 12 | yes |
| RED BANK | Nj | United States | 12 | yes |
| Richmond | Va | United States | 11 | yes |
| Seattle | Wa | United States | 11 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 19, 2026 | $37B | $14B | 2,806 | 1,219 | 109 | n/a | n/a |
| 2024 | Mar 27, 2025 | $32B | $12B | 2,883 | 1,295 | 123 | 1 | n/a |
| 2023 | Mar 19, 2024 | $27B | $11B | 2,812 | 1,126 | 117 | 1 | $13.9M |
| 2022 | Mar 21, 2023 | $23B | $8.4B | 2,784 | 1,073 | 118 | 1 | $18.8M |
| 2021 | Mar 18, 2022 | $27B | $10B | 2,806 | 728 | 88 | 1 | $22.4M |
| 2020 | Mar 24, 2021 | $23B | $8.6B | 2,788 | 823 | 80 | 1 | $25.6M |
| 2019 | Mar 10, 2020 | $19B | $7.6B | 2,850 | 826 | 93 | 1 | $30.2M |
| 2018 | Mar 19, 2019 | $11B | $6.0B | 2,868 | 804 | 77 | 1 | $33.7M |
| 2017 | Mar 22, 2018 | $15B | $6.2B | 2,740 | 911 | 77 | 1 | $66.1M |
| 2016 | Mar 30, 2017 | $9.6B | $5.8B | 2,949 | 783 | n/a | 1 | $58.6M |
| 2015 | Mar 22, 2016 | $9.1B | $5.5B | 3,035 | 1,206 | n/a | 1 | $65.9M |
| 2014 | Feb 11, 2015 | $9.4B | $5.6B | 3,185 | 1,280 | n/a | 1 | $56.3M |
| 2013 | Mar 25, 2014 | $8.7B | $5.0B | 3,386 | 1,280 | n/a | 1 | $56.9M |
| 2012 | Mar 20, 2013 | $12B | $4.1B | 3,462 | 1,280 | n/a | 1 | $52.9M |
| 2011 | Mar 7, 2012 | $6.0B | $3.6B | n/a | n/a | n/a | 1 | $51.1M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 53 | 60 | -7 | 5.2% | 11 | 14 | 0 | 146 | 151 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $37B | $32B | 13.2% | $23B | 17.5% | 2,806 | 2,883 | 109 | 123 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| LPL ENTERPRISE, LLC | 2 | Aug 21, 2026 | Aug 18, 2026 | PORT ORANGE, FL | Team lift out | Ibd to ibd | 0.2% |
| WELLS FARGO ADVISORS | 3 | Jul 17, 2026 | Jul 15, 2026 | LOS ANGELES, CA | Team lift out | Ibd to wirehouse | 0.3% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | May 26, 2026 | Jul 24, 2026 | NEW YORK, NY | Team lift out | Ibd to ibd | 0.2% |
| RBC CAPITAL MARKETS, LLC | 2 | Mar 13, 2026 | Apr 1, 2026 | NEWPORT BEACH, CA | Team lift out | Ibd to ibd | 0.2% |
| WELLS FARGO ADVISORS | 2 | Dec 19, 2025 | Dec 12, 2025 | LONG BEACH, NY | Team lift out | Ibd to wirehouse | 0.2% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 11 | Oct 31, 2025 | Oct 29, 2025 | BOCA RATON, FL | Team lift out | Ibd to ibd | 1.0% |
| &partners | 2 | Oct 24, 2025 | Oct 24, 2025 | ST LOUIS, MO | Team lift out | Ibd to RIA | 0.2% |
| RAYMOND JAMES & ASSOCIATES, INC. | 2 | Jul 25, 2025 | Jul 21, 2025 | CORAL GABLES, FL | Team lift out | Ibd to ibd | 0.2% |
| OPPENHEIMER ASSET MANAGEMENT | 3 | Jun 20, 2025 | Apr 15, 2003 | WESTLAKE VILLAGE, CA | Team lift out | Ibd to ibd | 0.3% |
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | 4 | Jun 20, 2025 | Jun 17, 2025 | LOS ANGELES, CA | Team lift out | Ibd to ibd | 0.4% |
| LPL FINANCIAL LLC | 2 | May 23, 2025 | May 22, 2025 | BRIARCLIFF MANOR, NY | Team lift out | Ibd to ibd | 0.2% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Apr 4, 2025 | May 1, 2025 | EAST LANSING, MI | Team lift out | Ibd to ibd | 0.2% |
| LPL FINANCIAL LLC | 2 | Jul 12, 2024 | Jul 8, 2024 | SCOTTSDALE, AZ | Team lift out | Ibd to ibd | 0.2% |
| WELLS FARGO ADVISORS | 2 | Nov 17, 2023 | Nov 13, 2023 | SAN FRANCISCO, CA | Team lift out | Ibd to wirehouse | 0.2% |
| LPL FINANCIAL LLC | 2 | Oct 20, 2023 | Oct 16, 2023 | NORTH PALM BEACH, FL | Team lift out | Ibd to ibd | 0.2% |
| RBC CAPITAL MARKETS, LLC | 2 | Aug 18, 2023 | Aug 17, 2023 | BOCA RATON, FL | Team lift out | Ibd to ibd | 0.2% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Jun 16, 2023 | Jul 17, 2023 | NEW YORK, NY | Team lift out | Ibd to wirehouse | 0.2% |
| RAYMOND JAMES & ASSOCIATES, INC. | 2 | Jan 13, 2023 | Jan 10, 2023 | SAN FRANCISCO, CA | Team lift out | Ibd to ibd | 0.2% |
| LPL FINANCIAL LLC | 2 | May 20, 2022 | May 18, 2022 | DALLAS, TX | Team lift out | Ibd to RIA | 0.2% |
| NEWEDGE ADVISORS | 2 | Mar 11, 2022 | Mar 9, 2022 | DELRAY BEACH, FL | Team lift out | Ibd to ibd | 0.2% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B. RILEY WEALTH ADVISORS, INC. | 2 | Mar 4, 2025 | Feb 25, 2025 | HIGHLAND PARK, IL | Team lift out | Ibd to ibd | 0.8% |
| WEDBUSH SECURITIES INC. | 3 | Dec 15, 2024 | Dec 2, 2024 | LOS ANGELES, CA | Team lift out | Ibd to ibd | 1.5% |
| B. RILEY WEALTH ADVISORS, INC. | 2 | Sep 6, 2024 | Sep 11, 2024 | MEMPHIS, TN | Team lift out | Ibd to ibd | 0.6% |
| UBS FINANCIAL SERVICES INC. | 2 | Jun 17, 2024 | Nov 7, 2024 | CHICAGO, IL | Team lift out | Wirehouse to ibd | 0.0% |
| D.A. DAVIDSON & CO. | 2 | Jan 29, 2024 | Jan 25, 2024 | NEWPORT BEACH, CA | Team lift out | RIA to ibd | 0.3% |
| CARLSON FINANCIAL | 2 | Jan 8, 2024 | Jan 10, 2024 | VIRGINIA BEACH, VA | Team lift out | RIA to ibd | 22.2% |
| MORGAN STANLEY | 2 | Dec 15, 2023 | Jan 17, 2024 | SUGARLAND, TX | Team lift out | Wirehouse to ibd | 0.0% |
| B. RILEY WEALTH ADVISORS, INC. | 2 | Jul 27, 2023 | Jul 27, 2023 | CHICAGO, IL | Team lift out | Ibd to ibd | 0.6% |
| MORGAN STANLEY | 2 | Jan 19, 2023 | Jan 23, 2023 | PALM BEACH GARDENS, FL | Team lift out | Wirehouse to ibd | 0.0% |
| B. RILEY WEALTH ADVISORS, INC. | 4 | Oct 25, 2022 | Oct 31, 2022 | NASHVILLE, TN | Team lift out | Ibd to ibd | 1.1% |
| WELLS FARGO ADVISORS | 2 | Nov 4, 2021 | Oct 20, 2021 | MIAMI, FL | Team lift out | Wirehouse to ibd | 0.0% |
| UBS FINANCIAL SERVICES INC. | 2 | Sep 7, 2021 | Oct 25, 2021 | STUART, FL | Team lift out | Wirehouse to ibd | 0.0% |
| WELLS FARGO ADVISORS | 2 | May 20, 2021 | Jul 21, 2021 | CITY OF INDUSTRY, CA | Team lift out | Wirehouse to ibd | 0.0% |
| WELLS FARGO ADVISORS | 3 | May 17, 2021 | Aug 10, 2021 | MIAMI, FL | Team lift out | Wirehouse to ibd | 0.0% |
| MORGAN STANLEY | 2 | May 11, 2021 | May 13, 2021 | BOSTON, MA | Team lift out | Wirehouse to ibd | 0.0% |
| WELLS FARGO ADVISORS | 2 | Apr 26, 2021 | Apr 23, 2021 | THE WOODLANDS, TX | Team lift out | Wirehouse to ibd | 0.0% |
| MORGAN STANLEY | 2 | Jan 19, 2021 | Jan 20, 2021 | EDWARDSVILLE, IL | Team lift out | Wirehouse to ibd | 0.0% |
| MORGAN STANLEY | 2 | Oct 22, 2019 | Oct 10, 2019 | ATLANTA, GA | Team lift out | Wirehouse to ibd | 0.0% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Aug 8, 2019 | Aug 22, 2019 | VIRGINIA BEACH, VA | Team lift out | Wirehouse to ibd | 0.0% |
| HORACE MANN INVESTORS, INC. | 2 | Jun 30, 2018 | Jul 5, 2018 | WAUKESHA, WI | Team lift out | Other | 3.6% |