DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Oppenheimer & Co. Inc.
Latest filing Jun 23, 2026
First filing on the tape Mar 7, 2012 · 124 filings
SEC status approved since Feb 9, 1955
RAUM
$37B
reported, Item 5.F
Discretionary
39%
of RAUM
Private clients
62%
$23B individuals and HNW
Advisors
1,149
registered through the firm on IAPD
RAUM per advisor
$32.0M
derived; firm RAUM over IAPD count
Employees
2,806
1,219 advisory (5.B.1)
Offices
109
beyond the principal office
Private funds
0
reported on Schedule D
History
124 filings and snapshots on the tape
RAUM$37B as of Jun 23, 2026
Mar 7, 2012$6.0B then
HNW client RAUM$5.7B as of Jun 23, 2026
Mar 22, 2018$2.2B then
State-registered IARs (5.B.3)1,135 as of Jun 23, 2026
Mar 20, 20131,280 then
Employees (5.A)2,806 as of Jun 23, 2026
Mar 20, 20133,462 then
Private funds1 as of Jan 5, 2026
Mar 7, 20121 then
RAUM +13% over the last fiscal year+17% a year over threeIARs 1,167 to 1,135offices 123 to 109
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $31.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $940,432derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 39%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 10.5derived110 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -2.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 5,500reportedItem 5.H
- Wrap fee program
- $27BreportedItem 5.I
- Custody
- $26B, 38,316 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- the adviser acts as qualified custodian (9.D.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$17B66%
- High-net-worth individuals$5.7B22%
- Corporations and businesses$2.0B7.8%
- Pension and profit-sharing plans$460M1.8%
- Charitable organizations$421M1.6%
- Insurance companies$142M0.6%
- State and municipal entities$94,8890.0%
- Individual clients
- 35,818reported
- HNW clients
- 1,229reported
- Pension plan clients
- 267reported
- Charitable clients
- 191reported
- Accounts
- 39,036reported
- Financial planning clients
- 5,500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $26B for 38,316 clientsreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=0.62 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=true bd_reps=1764.0derived
Advisors registered through the firm
1,150 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brian Donald Sayers | Plano, Tx | Jan 3, 2003 | 43 y | 1 |
| Marcie Kaye Mayer | New York, Ny | Jan 3, 2003 | 27 y | 1 |
| John Ernest Gilchrist | Bonita Springs, Fl | Jan 3, 2003 | 41 y | 1 |
| Mark William Weinberg | Los Angeles, Ca | Jan 3, 2003 | 40 y | 1 |
| Jackie Lea Abels | Olivette, Mo | Jan 3, 2003 | 32 y | 1 |
| George Thomas Ebenhack | Carlsbad, Ca | Jan 3, 2003 | 47 y | 1 |
| Ronald Jacob Allison | Chelan, Wa | Jan 3, 2003 | 45 y | 1 |
| Steven Edward Egan | Chicago, Il | Jan 3, 2003 | 46 y | 1 |
| Wim Antonius Schut | Bellevue, Wa | Jan 3, 2003 | 46 y | 1 |
| Raymond Martin Faupel | St. Louis, Mo | Jan 3, 2003 | 46 y | 1 |
| Rodney Frederick Nock | Bowersville, Ga | Jan 3, 2003 | 44 y | 2 |
| Robert Allen MandellCertified Financial Planner | Chicago, Il | Jan 3, 2003 | 47 y | 1 |
| Steven Kirk Lauterbach | Dallas, Tx | Jan 3, 2003 | 39 y | 1 |
| Sheff Daniel Olinger | Dobson, Nc | Jan 3, 2003 | 42 y | 1 |
| Jeffrey Alan Rivlin | Delray Beach, Fl | Jan 3, 2003 | 38 y | 1 |
| Marguerite Elizabeth Tomeo | Southbury, Ct | Jan 22, 2003 | 48 y | 0 |
| Paul Theodore Casali | Litchfield, Ct | Jan 22, 2003 | 38 y | 0 |
| Randy Farzin Moshtael | Los Angeles, Ca | Jun 6, 2003 | 44 y | 2 |
| Harold Loyd Perkins | Houston, Tx | Jan 7, 2004 | 45 y | 0 |
| Sandra Lee Bershad | Dallas, Tx | Jan 28, 2004 | 27 y | 0 |
| John Robert Shelton | Leawood, Ks | Feb 2, 2004 | 44 y | 1 |
| Marcia Lindsey Locher | Houston, Tx | Feb 23, 2004 | 40 y | 1 |
| Ernest Sean Mishne | Beachwood, Oh | Mar 24, 2004 | 35 y | 0 |
| Daniel Jason Israelite | Chicago, Il | Apr 15, 2004 | 22 y | 0 |
| John Michael Legg | Topeka, Ks | Jul 2, 2004 | 46 y | 0 |
| Peter Wallace Stauffer | Topeka, Ks | Jul 19, 2004 | 30 y | 0 |
| Timothy James Vega | Leawood, Ks | Jul 19, 2004 | 28 y | 0 |
| Frederick Spitzer Brown | Atlanta, Ga | Jul 30, 2004 | 44 y | 0 |
| Yale Andrew SaltzmanChartered Financial Analyst | Warrington, Pa | Aug 17, 2004 | 24 y | 0 |
| James Douglas Watt | Atlanta, Ga | Sep 24, 2004 | 46 y | 2 |
| Jerome Worth Lynn | Atlanta, Ga | Oct 7, 2004 | 33 y | 0 |
| Jonathan Alexander RobinsonCertified Financial Planner | Atlanta, Ga | Oct 7, 2004 | 25 y | 0 |
| Matthew Lee Costa | Fishkill, Ny | Jan 3, 2005 | 22 y | 0 |
| Howard West Kluttz | Washington, Dc | Jan 6, 2005 | 46 y | 1 |
| Michael Douglas Eitzen | Scottsdale, Az | Jan 26, 2005 | 39 y | 0 |
| Douglas Matthew Faupel | St. Louis, Mo | Feb 10, 2005 | 22 y | 0 |
| George Hillyer Connerat | New York, Ny | Mar 29, 2005 | 43 y | 1 |
| Donna Dyke-Bajaj | Dallas, Tx | Apr 18, 2005 | 46 y | 2 |
| Phillip Walker Sprague | St. Louis, Mo | Apr 20, 2005 | 44 y | 1 |
| Joann Elizabeth Parisi | New York, Ny | May 17, 2005 | 35 y | 0 |
Advisor movement
60 left, 53 joined in 12 months
net -7 in 12 months14 left in 90 days11 joined in 90 daysdeparture rate 5.2% of current headcount151 left over 36 months
Left, latest
- Carol Zabala Vaughn to Sage Mountain Advisors, LLCSep 11, 2026 · Affiliated broker-dealer or bank to independent RIA
- Leopoldo Enrique Ferris Wallis to Insigneo Advisory Services, LLCSep 11, 2026 · Affiliated broker-dealer or bank to independent RIA
- Ian A Yi to Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 4, 2026 · Affiliated broker-dealer or bank to wirehouse
- Jared Richard Silverman to LPL Enterprise, LLCAug 21, 2026 · Affiliated broker-dealer or bank to another
- Nicholas John Novak to LPL Enterprise, LLCAug 21, 2026 · Affiliated broker-dealer or bank to another
- Julian Bernard Kasmai to Morgan StanleyAug 14, 2026 · Affiliated broker-dealer or bank to wirehouse
- Christopher Lappas to Ameriprise Financial Services, LLCAug 7, 2026 · Affiliated broker-dealer or bank to another
- Stephen Michael Tomkins to A.G.P / Alliance Global PartnersAug 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- Joe T Chan to Wells Fargo AdvisorsJul 17, 2026 · Affiliated broker-dealer or bank to wirehouse
- Michael J Squellati to Wells Fargo AdvisorsJul 17, 2026 · Affiliated broker-dealer or bank to wirehouse
- Sam Hassas Roudsari to Wells Fargo AdvisorsJul 17, 2026 · Affiliated broker-dealer or bank to wirehouse
- Christian Alexander St. Vil to Neuberger Berman Bd LLCJul 10, 2026 · Other
- Mason Davis to J.P. Morgan Securities LLCJun 26, 2026 · Affiliated broker-dealer or bank to wirehouse
- Peter Orourke to Morgan StanleyJun 26, 2026 · Affiliated broker-dealer or bank to wirehouse
- Patrick Jeffrey Hager to Theta Wealth PartnersJun 18, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
Joined, latest
- Timothy David Oster from Missionsquare RetirementSep 14, 2026 · Affiliated broker-dealer or bank to another
- Jonathan Michael Susser from Janney Montgomery Scott LLCSep 14, 2026 · Affiliated broker-dealer or bank to another
- Joseph Orsini from Eaglebrook AdvisorsSep 10, 2026 · RIA to affiliated broker-dealer or bank
- Robert Tolstykh from MarinerAug 11, 2026 · Affiliated broker-dealer or bank to another
- Sophie Nhi Sulimowicz from Charles Schwab & Co., Inc.Jul 22, 2026 · Affiliated broker-dealer or bank to another
- Pablo Vicente Pico from J.P. Morgan Securities LLCJul 15, 2026 · Wirehouse to affiliated broker-dealer or bank
- Christopher Ryan Bell from Blackrock Investment Management, LLCJul 13, 2026 · Other
- Joel Berry from Truist Advisory Services, Inc.Jul 1, 2026 · Affiliated broker-dealer or bank to another
- Diana Diaz from Ameriprise Financial Services, LLCJun 29, 2026 · Affiliated broker-dealer or bank to another
- Timothy James Wong from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 22, 2026 · Wirehouse to affiliated broker-dealer or bank
- Motaz Ashri from Morgan StanleyJun 22, 2026 · Wirehouse to affiliated broker-dealer or bank
- Brian John Delany from Janney Montgomery Scott LLCJun 18, 2026 · Affiliated broker-dealer or bank to another
- Kristoffer Manaloto Sun from Raymond James & Associates, Inc.Jun 9, 2026 · Affiliated broker-dealer or bank to another
- Huston Lorenzo from Morgan StanleyJun 9, 2026 · Wirehouse to affiliated broker-dealer or bank
- Albert Christopher Nassar from Heller Private WealthJun 8, 2026 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for LPL Enterprise, LLCAug 21, 2026 · Port Orange, Fl
- 3 left for Wells Fargo AdvisorsJul 17, 2026 · Los Angeles, Ca
- 2 left for Ameriprise Financial Services, LLCMay 26, 2026 · New York, Ny
- 2 left for RBC Capital Markets, LLCMar 13, 2026 · Newport Beach, Ca
- 2 left for Wells Fargo AdvisorsDec 19, 2025 · Long Beach, Ny
- 11 left for Ameriprise Financial Services, LLCOct 31, 2025 · Boca Raton, Fl
- 2 left for &PartnersOct 24, 2025 · St Louis, Mo
- 2 left for Raymond James & Associates, Inc.Jul 25, 2025 · Coral Gables, Fl
- 2 joined from B. Riley Wealth Advisors, Inc.Mar 4, 2025 · Highland Park, Il
- 3 joined from Wedbush Securities Inc.Dec 15, 2024 · Los Angeles, Ca
- 2 joined from B. Riley Wealth Advisors, Inc.Sep 6, 2024 · Memphis, Tn
- 2 joined from UBS Financial Services Inc.Jun 17, 2024 · Chicago, Il
- 2 joined from D.A. Davidson & Co.Jan 29, 2024 · Newport Beach, Ca
- 2 joined from Carlson FinancialJan 8, 2024 · Virginia Beach, Va
- 2 joined from Morgan StanleyDec 15, 2023 · Sugarland, Tx
- 2 joined from B. Riley Wealth Advisors, Inc.Jul 27, 2023 · Chicago, Il
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Oppenheimer Activist Partners LPno longer reported | Hedge Fund | $13.9M | 21 | Mar 7, 2012 |
Owners and control persons
Schedule A and B, latest filing
- John Anthony Benedetto · Directorcontrolsince 04/2014 · owns less than 5%
- Thomas Edward Cassidy · Managing Director/Directorcontrolsince 03/2025 · owns less than 5%
- Peter John Giordano · Managing Director-Chief Administrative Officercontrolsince 01/2025 · owns less than 5%
- Edward Patrick Harrington · Executive Vice President - Private Client Servicescontrolsince 02/2019 · owns less than 5%
- Albert Grinsfelder Lowenthal · Executive Chairman- Phase II Fin'Lcontrolsince 05/2025 · owns less than 5%
- Robert Steven Lowenthal · Ceo-President-Directorcontrolsince 05/2025 · owns less than 5%
- Dennis Patrick Mcnamara · E.V.P./Clo/Secretarycontrolsince 01/2006 · owns less than 5%
- Leon E Molokie Jr · Executive Vice President - Chief Operations Officercontrolsince 04/2020 · owns less than 5%
- Douglas Thornley Siegel · Chief Compliance Officercontrolsince 02/2016 · owns less than 5%
- Dominic Thomas Valentino · Chief Compliance Officercontrolsince 10/2025 · owns less than 5%
- Brad Michael Watkins · Director-Executive Vice President-Cfocontrolsince 08/2022 · owns less than 5%
- Albert Grinsfelder Lowenthal · Owns 100%controlsince 10/1985 · owns 75% or more of Phase II Financial Inc.
- John Thomas Mcguire · Managing Director/Deputy General Counsel- Director Of Litigationsince 01/2007 · owns less than 5%
Entity owners
- Viner Finance Inc. · Parent Co.direct · owns 75% or more
- E.A. Viner International Co. · Holding Co.indirect · owns 75% or more of Viner Finance Inc.
- Oppenheimer Holdings Inc. · Common Stockindirect · owns 75% or more of E.A. Viner International Co. · public reporting company
- Phase II Financial Inc. · Owns Class B Voting Stock Of Oppenheimer Holdings.indirect · owns 75% or more of Oppenheimer Holdings
Related persons
Schedule D 7.A
- Advantage Advisers Management, LLCinvestment adviserbankpooled vehicle sponsornRAUM $469M
- Advantage Advisers Multi-Manager, L.L.C.investment adviserbankpooled vehicle sponsornRAUM $4.9B
- Freedom Investments, Inc.broker-dealery
- Opco Activist LLCbankpooled vehicle sponsory
- Oppenheimer Alternative Investment Management, LLCinvestment adviserpooled vehicle sponsornRAUM $178M
- Oppenheimer Asset Managementinvestment advisernRAUM $21B
- Oppenheimer Europe Ltdbroker-dealern
- Oppenheimer Investment Management LLCinvestment advisernRAUM $929M
- Oppenheimer Investments Asia Limitedbroker-dealern
- Oppenheimer Israel (Opco) Ltdbroker-dealery
- Oppenheimer Life Agency, Ltd.real estatey
- Oppenheimer Trust Company Inc.n
Advisers that list Oppenheimer & Co. Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 274 | 27 | 6 | 1 | |
| Chicago, Il | 54 | 7 | 2 | ||
| Coral Gables, Fl | 51 | 8 | 1 | ||
| Houston, Tx | 47 | 4 | 2 | ||
| St Louis, Mo | 43 | 3 | 2 | 1 | |
| Washington, Dc | 35 | 4 | 1 | ||
| Stamford, Ct | 35 | 2 | 2 | ||
| Bellevue, Wa | 32 | 5 | 0 | ||
| Boston, Ma | 32 | 7 | 0 | ||
| San Francisco, Ca | 27 | 4 | 0 | ||
| Seattle, Wa | 27 | 2 | 0 | ||
| Los Angeles, Ca | 27 | 1 | 4 | 1 | |
| Dallas, Tx | 24 | 2 | 0 | ||
| Atlanta, Ga | 24 | 1 | 1 | ||
| Jericho, Ny | 24 | 4 | 2 | ||
| Jenkintown, Pa | 23 | 0 | 0 | ||
| Boca Raton, Fl | 23 | 4 | 10 | 1 | |
| Florham Park, Nj | 23 | 5 | 0 | ||
| Birmingham, Mi | 22 | 2 | 0 | ||
| Fort Lauderdale, Fl | 22 | 2 | 3 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY93 employees
- Chicago, IL61 employees
- Los Angeles, CA45 employees
- Bellevue, WA38 employees
- Coral Gables, FL38 employees
- St. Louis, MO37 employees
- Houston, TX36 employees
- Boston, MA29 employees
- Stamford, CT28 employees
- Washington, DC24 employees
- San Francisco, CA24 employees
- Fort Lauderdale, FL22 employees
- Boca Raton, FL21 employees
- Jenkintown, PA20 employees
- Asheville, NC18 employees
- Atlanta, GA17 employees
- Birmingham, MI16 employees
- Melville, NY16 employees
- Florham Park, NJ14 employees
- Dallas, TX14 employees
- Jericho, NY13 employees
- Newport Beach, CA12 employees
- Red Bank, NJ12 employees
- Richmond, VA11 employees
- Seattle, WA11 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 23, 2026GIORDANO, PETER JOHN (MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER) appeared on Schedule A between the filings of 2022-08-15 and 2026-06-23peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jun 23, 2026CASSIDY, THOMAS EDWARD (MANAGING DIRECTOR/DIRECTOR) appeared on Schedule A between the filings of 2022-08-15 and 2026-06-23peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jun 23, 2026VALENTINO, DOMINIC THOMAS (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2022-08-15 and 2026-06-23peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jun 23, 2026SIEGEL, DOUGLAS THORNLEY (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2022-08-15 and 2026-06-23peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jun 23, 2026BENEDETTO, JOHN ANTHONY (DIRECTOR) left Schedule A between the filings of 2022-08-15 and 2026-06-23peers: affiliated wealth managers, $20B and over (50)
What changed
consecutive filings, newest first
- Accounts · 37,605 to 39,036Jan 5, 2026 to Mar 19, 2026
- Advisory employees · 1,295 to 1,219Jan 5, 2026 to Mar 19, 2026
- Advisory activities · 6 to 5Jan 5, 2026 to Mar 19, 2026
- BD registered reps · 1,812 to 1,764Jan 5, 2026 to Mar 19, 2026
- Charity clients · 162 to 191Jan 5, 2026 to Mar 19, 2026
- Corporate clients · 293 to 304Jan 5, 2026 to Mar 19, 2026
- HNW clients · 1,048 to 1,229Jan 5, 2026 to Mar 19, 2026
- Individual clients · 34,604 to 35,818Jan 5, 2026 to Mar 19, 2026
- Pension plan clients · 340 to 267Jan 5, 2026 to Mar 19, 2026
- Pooled vehicle clients · 1 to 0Jan 5, 2026 to Mar 19, 2026
- Assets in custody · $23B to $26BJan 5, 2026 to Mar 19, 2026
- Employees · 2,883 to 2,806Jan 5, 2026 to Mar 19, 2026
- State-registered IARs · 1,167 to 1,135Jan 5, 2026 to Mar 19, 2026
- Other offices · 123 to 109Jan 5, 2026 to Mar 19, 2026
- Private funds · 1 to unsetJan 5, 2026 to Mar 19, 2026
- Discretionary RAUM · $12B to $14BJan 5, 2026 to Mar 19, 2026
- HNW RAUM · $5.2B to $5.7BJan 5, 2026 to Mar 19, 2026
- Individual RAUM · $15B to $17BJan 5, 2026 to Mar 19, 2026
- Non-discretionary RAUM · $20B to $22BJan 5, 2026 to Mar 19, 2026
- Pension RAUM · $510M to $460MJan 5, 2026 to Mar 19, 2026
- Pooled vehicle RAUM · $15.8M to $0Jan 5, 2026 to Mar 19, 2026
- RAUM · $32B to $37BJan 5, 2026 to Mar 19, 2026
- Financial planning clients · More than 500 to More than 500Jun 25, 2025 to Jul 10, 2025
- Accounts · 34,493 to 37,605Jan 16, 2025 to Mar 27, 2025
- Advisory employees · 1,126 to 1,295Jan 16, 2025 to Mar 27, 2025
- BD registered reps · 1,756 to 1,812Jan 16, 2025 to Mar 27, 2025
- Charity clients · 143 to 162Jan 16, 2025 to Mar 27, 2025
- Corporate clients · 281 to 293Jan 16, 2025 to Mar 27, 2025
- HNW clients · 786 to 1,048Jan 16, 2025 to Mar 27, 2025
- Individual clients · 31,917 to 34,604Jan 16, 2025 to Mar 27, 2025
- Pension plan clients · 339 to 340Jan 16, 2025 to Mar 27, 2025
- Assets in custody · $19B to $23BJan 16, 2025 to Mar 27, 2025
- Employees · 2,812 to 2,883Jan 16, 2025 to Mar 27, 2025
- State-registered IARs · 1,126 to 1,167Jan 16, 2025 to Mar 27, 2025
- Other offices · 117 to 123Jan 16, 2025 to Mar 27, 2025
- Discretionary RAUM · $11B to $12BJan 16, 2025 to Mar 27, 2025
- HNW RAUM · $3.9B to $5.2BJan 16, 2025 to Mar 27, 2025
- Individual RAUM · $13B to $15BJan 16, 2025 to Mar 27, 2025
- Non-discretionary RAUM · $17B to $20BJan 16, 2025 to Mar 27, 2025
- Pension RAUM · $452M to $510MJan 16, 2025 to Mar 27, 2025
Signals
60 dated events
- Tyler Daniel Emick registered as an investment adviser representative at Oppenheimer & Co. Inc.Sep 16, 2026 · Advisor registered · fact
- Sophia Louise Hagerty registered as an investment adviser representative at Oppenheimer & Co. Inc.Sep 15, 2026 · Advisor registered · fact
- Roc William Willis added a NV registration at Oppenheimer & Co. Inc.Sep 15, 2026 · New state registration · fact
- Jonathan Michael Susser added a NY registration at Oppenheimer & Co. Inc.Sep 15, 2026 · New state registration · fact
- Jonathan Michael Susser registered as an investment adviser representative at Oppenheimer & Co. Inc.Sep 14, 2026 · Advisor registered · fact
- Joshua Ray Dillard registered as an investment adviser representative at Oppenheimer & Co. Inc.Sep 14, 2026 · Advisor registered · fact
- Timothy David Oster registered as an investment adviser representative at Oppenheimer & Co. Inc.Sep 14, 2026 · Advisor registered · fact
- Jonathan Michael Susser added a PA registration at Oppenheimer & Co. Inc.Sep 14, 2026 · New state registration · fact
- Carol Zabala Vaughn left Oppenheimer & Co. Inc. for Sage Mountain Advisors, Llc (registered 2026-09-10)Sep 11, 2026 · Advisor changed firm · fact
- Leopoldo Enrique Ferris Wallis left Oppenheimer & Co. Inc. for Insigneo Advisory Services, Llc (registered 2026-09-10)Sep 11, 2026 · Advisor changed firm · fact
- Ian A Yi left Oppenheimer & CO. Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-09-16)Sep 4, 2026 · Advisor changed firm · fact
- Jared Richard Silverman left Oppenheimer & Co. Inc. for Lpl Enterprise, Llc (registered 2026-08-18)Aug 21, 2026 · Advisor changed firm · fact
- Nicholas John Novak left Oppenheimer & Co. Inc. for Lpl Enterprise, Llc (registered 2026-08-18)Aug 21, 2026 · Advisor changed firm · fact
- 2 advisors left Oppenheimer & CO. Inc. (Port Orange, FL) for LPL Enterprise, LLC on the same dayAug 21, 2026 · Team lift-out · derived
- Julian Bernard Kasmai left Oppenheimer & Co. Inc. for Morgan Stanley (registered 2026-09-08)Aug 14, 2026 · Advisor changed firm · fact
- Christopher Lappas left Oppenheimer & Co. Inc. for Ameriprise Financial Services, Llc (registered 2026-08-07)Aug 7, 2026 · Advisor changed firm · fact
- Stephen Michael Tomkins left Oppenheimer & Co. Inc. for A.G.P / Alliance Global Partners (registered 2026-08-04)Aug 7, 2026 · Advisor changed firm · fact
- Sam Hassas Roudsari left Oppenheimer & Co. Inc. for Wells Fargo Advisors (registered 2026-07-15)Jul 17, 2026 · Advisor changed firm · fact
- Michael J Squellati left Oppenheimer & Co. Inc. for Wells Fargo Advisors (registered 2026-07-15)Jul 17, 2026 · Advisor changed firm · fact
- Joe T Chan left Oppenheimer & Co. Inc. for Wells Fargo Advisors (registered 2026-07-15)Jul 17, 2026 · Advisor changed firm · fact
- 3 advisors left Oppenheimer & CO. Inc. (Los Angeles, CA) for Wells Fargo Advisors on the same dayJul 17, 2026 · Team lift-out · derived
- Christian Alexander St. Vil left Oppenheimer & Co. Inc. for Neuberger Berman Bd Llc (registered 2026-07-16)Jul 10, 2026 · Advisor changed firm · fact
- Peter Orourke left Oppenheimer & Co. Inc. for Morgan Stanley (registered 2026-07-16)Jun 26, 2026 · Advisor changed firm · fact
- Mason Davis left Oppenheimer & Co. Inc. for J.P. Morgan Securities Llc (registered 2026-07-20)Jun 26, 2026 · Advisor changed firm · fact
- Patrick Jeffrey Hager left Oppenheimer & Co. Inc. for Theta Wealth Partners (registered 2026-06-11)Jun 18, 2026 · Advisor changed firm · fact
- Edward Lee Winokur left Oppenheimer & Co. Inc. for Raymond James & Associates, Inc. (registered 2026-06-11)Jun 12, 2026 · Advisor changed firm · fact
- Mitchell Todd Edenbaum left Oppenheimer & Co. Inc. for Ameriprise Financial Services, Llc (registered 2026-05-29)Jun 5, 2026 · Advisor changed firm · fact
- Nicholas Joseph Gallino left Oppenheimer & Co. Inc. for Morgan Stanley (registered 2026-07-10)Jun 1, 2026 · Advisor changed firm · fact
- Su Pyai Sone Naing left Oppenheimer & Co. Inc. for Ameriprise Financial Services, Llc (registered 2026-07-24)May 26, 2026 · Advisor changed firm · fact
- 2 advisors left Oppenheimer & CO. Inc. (New York, NY) for Ameriprise Financial Services, LLC within 10 daysMay 26, 2026 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
- Oppenheimer & Co. Inc. · Independent Sponsorsshared crd · intermediary
- Oppenheimer & Co. Inc. · Private Equityshared crd · organization
- Oppenheimer & Co. Inc. · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Website
- OPPENHEIMER.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-668-8000reportedpublic record, Form ADV, Jun 23, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $32.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Oppenheimer & Co. Inc. is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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