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.

Advisor	From	To	Type	Left	Registered
David Staats Carey	Oppenheimer Asset Management other	Oppenheimer & Co. Inc. other	Other	Nov 7, 2007	Nov 5, 2007
Blake Bertea	Oppenheimer Asset Management other	J.P. Morgan Securities LLC wirehouse	Other	Nov 7, 2007	Oct 14, 2016 (3264 d)
Gregory Neal Lewis	Oppenheimer Asset Management other	Ells Financial Services LLC state registered	Other	Nov 7, 2007	Nov 24, 2015 (2939 d)
Gary Alan Chiate	Oppenheimer Asset Management other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Nov 7, 2007	Jun 17, 2025 (6432 d)
Maria Troya Arriola	Oppenheimer Asset Management other	Ells Financial Services LLC state registered	Other	Nov 6, 2007	Nov 24, 2015 (2940 d)
Henry Scott Kruse	Oppenheimer Asset Management other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Nov 1, 2007	Aug 18, 2017 (3578 d)
Lori Sue Koval	Oppenheimer Asset Management other	Oppenheimer & Co. Inc. other	Other	Nov 1, 2007	Jun 20, 2006
David Robert Burke	Oppenheimer Asset Management other	Oppenheimer & Co. Inc. other	Other	Nov 1, 2007	May 18, 2005
James Ira Scheinberg	Oppenheimer Asset Management other	North Pier Fiduciary Management, LLC other	Other	Oct 31, 2007	Oct 10, 2008 (345 d)
Enrique Omar Torrens	Oppenheimer Asset Management other	Morgan Stanley wirehouse	Other	Oct 31, 2007	Apr 18, 2016 (3092 d)
Kerry Eugene Wate	Oppenheimer Asset Management other	Oppenheimer & Co. Inc. other	Other	Sep 17, 2007	Oct 24, 2005
Joel Daniel Kendall	Oppenheimer Asset Management other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 10, 2007	Jul 5, 2007
Gregory James Hahn	Oppenheimer Asset Management other	Winthrop Capital Management other	Other	Jun 28, 2007	Oct 2, 2007 (96 d)
William Jamieson Smith	Oppenheimer Asset Management other	Wells Fargo Advisors wirehouse	Other	Mar 14, 2007	Apr 4, 2007
Brian Lee Moffett	Oppenheimer Asset Management other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Sep 14, 2006	Apr 11, 2006
John Edward Rothe	Oppenheimer Asset Management other	Cambridge Investment Research Advisors, Inc. other	Other	Jul 19, 2006	Jul 6, 2006
Michael John Passage	Oppenheimer Asset Management other	First Allied Securities, Inc. other	Other	Jun 1, 2006	Jun 7, 2006
Stephen Richard Cordill	Oppenheimer Asset Management other	Smh Capital Advisors LLC other	Other	Apr 18, 2006	Apr 18, 2006
Richard William Vincent	Oppenheimer Asset Management other	Citigroup Global Markets Inc. other	Other	Dec 2, 2005	Nov 18, 2005
Adam Handaly	Oppenheimer Asset Management other	J.P. Morgan Securities LLC wirehouse	Other	Oct 21, 2005	Oct 7, 2005
Chad G Reibman	Oppenheimer Asset Management other	J.P. Morgan Securities LLC wirehouse	Other	Oct 12, 2005	Oct 6, 2005
Kevin Scott Monaco	Oppenheimer Asset Management other	Credit Suisse Securities (USA) LLC other	Other	Jun 3, 2005	May 25, 2005
Brian Robert Polerecky	Oppenheimer Asset Management other	UBS Financial Services Inc. wirehouse	Other	Feb 7, 2005	Jan 14, 2005
John David Jacobs	Oppenheimer Asset Management other	UBS Financial Services Inc. wirehouse	Other	Feb 7, 2005	Jan 20, 2005
Jean-Luc Francois Nouzille	Oppenheimer Asset Management other	Bristlecone Value Partners, LLC other	Other	Aug 18, 2004	Jul 23, 2004
John Edward Gunther	Oppenheimer Asset Management other	Wells Fargo Advisors wirehouse	Other	Aug 4, 2004	Aug 13, 2004
John Thomas Gerold	Oppenheimer Asset Management other	RBC Capital Markets, LLC national BD	Other	Jul 19, 2004	Aug 26, 2009 (1864 d)
Michael S Gregory	Oppenheimer Asset Management other	Equitable Advisors, LLC national BD	Other	Jul 1, 2004	Apr 20, 2005 (293 d)
David Rex Fleer	Oppenheimer Asset Management other	Bristlecone Value Partners, LLC other	Other	Jun 8, 2004	Jul 23, 2004 (45 d)
Gregory S. Farber	Oppenheimer Asset Management other	J.P. Morgan Securities LLC wirehouse	Other	Feb 26, 2004	Feb 26, 2004
Christie Marie Whitney	Oppenheimer Asset Management other	Integrated Wealth Counsel, LLC other	Other	Feb 13, 2004	Dec 12, 2012 (3225 d)
Patrick Joseph Bowen	Oppenheimer Asset Management other	One Capital Management, LLC other	Other	Feb 4, 2004	Jan 21, 2004
Christopher Rudolph Eichler	Oppenheimer Asset Management other	Bainbridge Investment Advisors LLC state registered	Other	Jan 16, 2004	May 12, 2004 (117 d)
Lee Myrl Spivey	Oppenheimer Asset Management other	J.P. Morgan Securities LLC wirehouse	Other	Jan 15, 2004	Mar 16, 2004 (61 d)
Franklyn Eugene Lee	Oppenheimer Asset Management other	J.P. Morgan Securities LLC wirehouse	Other	Jan 15, 2004	Feb 4, 2004
Daniel Anthony Fortman	Oppenheimer Asset Management other	J.P. Morgan Securities LLC wirehouse	Other	Jan 15, 2004	Feb 4, 2004
Mark Michael Dubinski	Oppenheimer Asset Management other	J.P. Morgan Securities LLC wirehouse	Other	Jan 15, 2004	Feb 4, 2004
David Mandel	Oppenheimer Asset Management other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jan 12, 2004	Feb 26, 2004 (45 d)
Stanley Martin Pillman	Oppenheimer Asset Management other	UBS Financial Services Inc. wirehouse	Other	Jan 5, 2004	Jan 5, 2004
Steven Coleman	Oppenheimer Asset Management other	UBS Financial Services Inc. wirehouse	Other	Nov 21, 2003	Nov 14, 2003
En-Yin Liu	Oppenheimer Asset Management other	Citigroup Global Markets Inc. other	Other	Oct 22, 2003	Jul 20, 2005 (637 d)
Christian A Ach	Oppenheimer Asset Management other	J.P. Morgan Securities LLC wirehouse	Other	Sep 30, 2003	Sep 29, 2003
Mitchell Ross Pindus	Oppenheimer Asset Management other	RBC Capital Markets, LLC national BD	Other	Sep 17, 2003	Sep 5, 2003
Elizabeth Xilas	Oppenheimer Asset Management other	RBC Capital Markets, LLC national BD	Other	Sep 16, 2003	Sep 15, 2003
Craig Crofton Frieders	Oppenheimer Asset Management other	Gunnallen Financial, Inc unclassified	Other	Sep 16, 2003	Sep 15, 2003
Noel Adam Cooper	Oppenheimer Asset Management other	RBC Capital Markets, LLC national BD	Other	Sep 16, 2003	Sep 15, 2003
Michael B Hershey	Oppenheimer Asset Management other	J.P. Morgan Securities LLC wirehouse	Other	Sep 8, 2003	Mar 27, 2017 (4949 d)
Geoffrey Scot Stewart	Oppenheimer Asset Management other	Aristotle Capital Management, LLC other	Other	Aug 19, 2003	Dec 5, 2017 (5222 d)
Franshell D Dumes	Oppenheimer Asset Management other	Morgan Stanley Dw Inc. unclassified	Other	Aug 18, 2003	Aug 18, 2003
Stephen Pavey Meskan	Oppenheimer Asset Management other	Advanced Equities, Inc. other	Other	Jul 8, 2003	Jul 23, 2004 (381 d)
Joseph Augustine Connor	Oppenheimer Asset Management other	Wells Fargo Advisors wirehouse	Other	Jul 8, 2003	Jun 27, 2003
Gregory Scott Simon	Oppenheimer Asset Management other	Citigroup Global Markets Inc. other	Other	Jun 25, 2003	Jun 11, 2003
Gary Jay Handler	Oppenheimer Asset Management other	RBC Capital Markets, LLC national BD	Other	Jun 25, 2003	Nov 3, 2005 (862 d)
Joshua David Rinkov	Oppenheimer Asset Management other	Lehman Brothers Inc. unclassified	Other	Jun 25, 2003	Jun 4, 2004 (345 d)
Michael Ramirez Vila	Oppenheimer Asset Management other	Cambridge Investment Research, Inc. unclassified	Other	Jun 25, 2003	May 30, 2003

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115 moves match.