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.

Advisor moves

Departures from Oppenheimer Asset Management

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Maurice Gordon StuffmannOppenheimer Asset Management BD affiliatedOppenheimer & Co. Inc. otherOtherDec 31, 2025Feb 1, 2011
Jeffrey Alan SuttonOppenheimer Asset Management BD affiliatedCitigroup Global Markets Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 8, 2020Jun 8, 2020 (31 d)
Edward Patrick HarringtonOppenheimer Asset Management independent RIAOppenheimer & Co. Inc. BD affiliatedRIA to affiliated broker-dealer or bankJan 8, 2020Nov 23, 2019
Bryan David FrancoOppenheimer Asset Management otherCig Asset Management, Inc. otherOtherFeb 18, 2014Oct 22, 2015 (611 d)
Mitchell James RossOppenheimer Asset Management otherUBS Financial Services Inc. wirehouseOtherFeb 17, 2012Apr 2, 2012 (45 d)
John Beatty LynchOppenheimer Asset Management otherFirst Trust Advisors LP otherOtherAug 10, 2011Aug 1, 2011
Daniel Stanley DerisioOppenheimer Asset Management otherWells Fargo Advisors wirehouseOtherApr 21, 2008Jan 23, 2009 (277 d)
James Douglas WattOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherApr 21, 2008Sep 24, 2004
David Francis ManderfieldOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherDec 13, 2007Dec 11, 2007
Raleigh Edward KraftOppenheimer Asset Management otherWells Fargo Advisors wirehouseOtherDec 11, 2007Apr 25, 2008 (136 d)
Austin Whitney VerityOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherDec 11, 2007Dec 10, 2007
William Atkinson Lobb IIOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherDec 4, 2007Sep 20, 2004
Gary Lee TakacsOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 14, 2007Nov 13, 2007
Darryl Jadwick LynchOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 14, 2007Nov 13, 2007
Danny Lane KyleOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 14, 2007Nov 13, 2007
Robert Foster KransbergerOppenheimer Asset Management otherAmeriprise Financial Services, LLC national BDOtherNov 14, 2007Feb 18, 2011 (1192 d)
Mark Eric ZuckermanOppenheimer Asset Management otherAmeriprise Financial Services, LLC national BDOtherNov 14, 2007Oct 28, 2025 (6558 d)
Luther Dean HauganOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 14, 2007Nov 13, 2007
Lorraine Shihchun ChengOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 14, 2007Nov 13, 2007
Christopher Terrance OdemOppenheimer Asset Management otherFreestone Capital Management, LLC independent RIAOtherNov 14, 2007Nov 2, 2023 (5832 d)
Spencer Todd NurseOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 14, 2007Nov 13, 2007
Douglas Sean BritneyOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 14, 2007Nov 13, 2007
Lance Gordon RoundsOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 14, 2007Nov 13, 2007
Joseph Nicholas RussellOppenheimer Asset Management otherCentury Advisory Group, LLC state registeredOtherNov 14, 2007Apr 8, 2016 (3068 d)
Brian Michael RayfieldOppenheimer Asset Management otherMorgan Stanley wirehouseOtherNov 14, 2007Dec 2, 2011 (1479 d)
David Howard LazarusOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 13, 2007Nov 2, 2007
Teresa Rose SoppetOppenheimer Asset Management otherRBC Capital Markets, LLC national BDOtherNov 13, 2007Jan 6, 2009 (420 d)
Michael John MccarthyOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 13, 2007Nov 5, 2007
David Jerome NaertOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 13, 2007Nov 8, 2007
Robert Nelson BarnesOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 13, 2007Nov 5, 2007
Kathleen Marie PalumboOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 13, 2007Nov 5, 2007
Andrew Wayne ErismanOppenheimer Asset Management otherFreestone Capital Management, LLC otherOtherNov 13, 2007May 21, 2009 (555 d)
Richard O StockeOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 13, 2007Nov 6, 2007
Matthew Gerhardt KochelOppenheimer Asset Management otherCitigroup Global Markets Inc. otherOtherNov 13, 2007Aug 1, 2003
Richard Douglas LeveyOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 13, 2007Nov 5, 2007
David Paul AllenOppenheimer Asset Management otherRobert W. Baird & Co. Incorporated mixed wealthOtherNov 13, 2007May 19, 2019 (4205 d)
Leonard James ScandariatoOppenheimer Asset Management otherB. Riley Wealth Advisors, Inc. BD affiliatedOtherNov 12, 2007Jul 14, 2023 (5723 d)
Demos ArgyrosOppenheimer Asset Management other&Partners independent RIAOtherNov 12, 2007Oct 27, 2025 (6559 d)
Gary Keith WidemanOppenheimer Asset Management otherUBS Financial Services Inc. wirehouseOtherNov 12, 2007May 2, 2008 (172 d)
Kelly Bernard TrevethanOppenheimer Asset Management otherUnited Capital Financial Advisors otherOtherNov 12, 2007Sep 15, 2008 (308 d)
David Sanford JamesOppenheimer Asset Management otherUBS Financial Services Inc. wirehouseOtherNov 12, 2007May 13, 2011 (1278 d)
Robert David RosenstockOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 12, 2007Nov 5, 2007
John Charles HexamerOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 12, 2007Nov 2, 2007
Mario Nicholas PantaleoOppenheimer Asset Management otherAmeriprise Financial Services, LLC national BDOtherNov 12, 2007Oct 25, 2013 (2174 d)
Jeffrey Lane WerdesheimOppenheimer Asset Management otherStifel, Nicolaus & Company, Incorporated national BDOtherNov 12, 2007Jun 17, 2025 (6427 d)
Michael Anthony BrcicOppenheimer Asset Management otherB. Riley Wealth Advisors, Inc. otherOtherNov 12, 2007Jan 19, 2017 (3356 d)
Mark David MazmanOppenheimer Asset Management otherRaymond James & Associates, Inc. national BDOtherNov 12, 2007Oct 11, 2013 (2160 d)
Ronald Lee GershonOppenheimer Asset Management otherHilltop Securities Inc. BD affiliatedOtherNov 12, 2007Jul 15, 2022 (5359 d)
Benjamin PosenOppenheimer Asset Management otherLindbrook Capital, LLC otherOtherNov 12, 2007May 13, 2011 (1278 d)
Brian Keith WerdesheimOppenheimer Asset Management otherStifel, Nicolaus & Company, Incorporated national BDOtherNov 12, 2007Jun 17, 2025 (6427 d)
Joseph Anthony GuttillaOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 12, 2007Nov 5, 2007
Sherry Lynne RadmoreOppenheimer Asset Management otherElls Financial Services LLC state registeredOtherNov 12, 2007May 29, 2026 (6773 d)
Edward Joseph LieberOppenheimer Asset Management otherElls Financial Services LLC state registeredOtherNov 12, 2007Nov 24, 2015 (2934 d)
Ronald David StumpfOppenheimer Asset Management otherElls Financial Services LLC state registeredOtherNov 12, 2007Nov 24, 2015 (2934 d)
Lawrence Ira GoldsteinOppenheimer Asset Management otherCetera Investment Advisers LLC BD affiliatedOtherNov 12, 2007Jun 29, 2023 (5708 d)
Richard James HollandOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 12, 2007Nov 5, 2007
Joan Jacobson GilchristOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 12, 2007Nov 5, 2007
Paul Edward SortalOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 12, 2007Nov 5, 2007
Louis PortnoyOppenheimer Asset Management otherRBC Capital Markets, LLC national BDOtherNov 12, 2007Jul 1, 2008 (232 d)
Richard Pierre PeloquinOppenheimer Asset Management otherOppenheimer & Co. Inc. otherOtherNov 12, 2007Nov 5, 2007
Page 1 of 2Next
115 moves match.