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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

RON L GUIDI

Advisor at OPPENHEIMER & CO. INC.

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:a7f90521-11c2-7bd9-a9bf-488696f0dcee

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 1
Observed: Jun 19, 2002 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

RON L Guidi

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OPPENHEIMER & CO. INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 7, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jan 7, 1998
First registration: Jun 19, 2002
Dual registered: yes, broker-dealer
Other names: L. RONALD GUIDI|RON GUIDI
IAPD individual key: 2761959

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Apr 2, 2026	n/a	yes	SAN FRANCISCO, CA	Current employment
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Aug 7, 2024	Apr 17, 2026	no	San Francisco, CA	Previous registration
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	May 7, 2019	Apr 17, 2026	no	San Francisco, CA\|Walnut Creek, CA\|ALAMO, CA	Previous registration
LIBERTY WEALTH MANAGEMENT, LLC	Independent wealth	May 17, 2018	Apr 29, 2019	no	OAKLAND, CA	Previous registration
LIBERTY WEALTH MANAGEMENT, LLC	Former SEC adviser	Aug 24, 2017	Oct 10, 2018	no	OAKLAND, CA\|LOS ALTOS, CA\|OAKLAND, CA	Previous registration
ROBERTSON STEPHENS ADVISORS	Former SEC adviser	Aug 9, 2013	Aug 4, 2017	no	SAN FRANCISCO, CA	Previous registration
DEUTSCHE BANK SECURITIES INC.	No RAUM reported	Jul 20, 2006	Mar 20, 2013	no	SAN FRANCISCO, CA	Previous registration
S & Y ASSET MANAGEMENT LLC	n/a	Mar 11, 2005	Nov 7, 2005	no	SAN FRANCISCO, CA	Previous registration
STONE & YOUNGBERG LLC	Former SEC adviser	Jul 26, 2004	Nov 7, 2005	no	SAN FRANCISCO, CA	Previous registration
ROBERTSON STEPHENS, INC.	n/a	Jun 19, 2002	Nov 1, 2002	no	BOSTON, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ROCKEFELLER CAPITAL MANAGEMENT	OPPENHEIMER & CO. INC.	Apr 17, 2026	Apr 2, 2026	-15	Firm change	Ibd to ibd
ROCKEFELLER CAPITAL MANAGEMENT	ROCKEFELLER CAPITAL MANAGEMENT	Apr 17, 2026	Aug 7, 2024	-618	Channel change	Ibd to ibd
LIBERTY WEALTH MANAGEMENT, LLC	ROCKEFELLER CAPITAL MANAGEMENT	Apr 29, 2019	May 7, 2019	8	Firm change	RIA to RIA
LIBERTY WEALTH MANAGEMENT, LLC	LIBERTY WEALTH MANAGEMENT, LLC	Oct 10, 2018	May 17, 2018	-146	Channel change	Other
ROBERTSON STEPHENS ADVISORS	LIBERTY WEALTH MANAGEMENT, LLC	Aug 4, 2017	Aug 24, 2017	20	Firm change	Other
DEUTSCHE BANK SECURITIES INC.	ROBERTSON STEPHENS ADVISORS	Mar 20, 2013	Aug 9, 2013	142	Firm change	Other
S & Y ASSET MANAGEMENT LLC	DEUTSCHE BANK SECURITIES INC.	Nov 7, 2005	Jul 20, 2006	255	Firm change	Other
STONE & YOUNGBERG LLC	S & Y ASSET MANAGEMENT LLC	Nov 7, 2005	Mar 11, 2005	-241	Firm change after gap	Other
ROBERTSON STEPHENS, INC.	STONE & YOUNGBERG LLC	Nov 1, 2002	Jul 26, 2004	633	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
106036:286001:CA:2018-10-10	Oct 10, 2018	May 17, 2018	OAKLAND, CA	Firm change after gap

Relationships

Registered with (10)

→ OPPENHEIMER & CO. INC.Registered adviserregistration: current employment
Apr 2, 2026 to presentfactForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
May 7, 2019 to Apr 17, 2026factForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Aug 7, 2024 to Apr 17, 2026factForm ADV
→ LIBERTY WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 17, 2018 to Apr 29, 2019factForm ADV
→ LIBERTY WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 24, 2017 to Oct 10, 2018factForm ADV
→ ROBERTSON STEPHENS ADVISORSRegistered adviserregistration: previous registration
Aug 9, 2013 to Aug 4, 2017factForm ADV
→ DEUTSCHE BANK SECURITIES INC.Registered adviserregistration: previous registration
Jul 20, 2006 to Mar 20, 2013factForm ADV
→ S & Y ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Mar 11, 2005 to Nov 7, 2005factForm ADV
→ STONE & YOUNGBERG LLCRegistered adviserregistration: previous registration
Jul 26, 2004 to Nov 7, 2005factForm ADV
→ ROBERTSON STEPHENS, INC.Registered adviserregistration: previous registration
Jun 19, 2002 to Nov 1, 2002factForm ADV

Dated events

Occurred
Apr 17, 2026
Advisor changed firm
Ron L Guidi left Rockefeller Capital Management for Oppenheimer & Co. Inc. (registered 2026-04-02)
Form ADVobserved 5 days ago