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 & Co. Inc.
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 |
|---|---|---|---|---|---|
| Leopoldo Enrique Ferris Wallis | Oppenheimer & Co. Inc. BD affiliated | Insigneo Advisory Services, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2026 | Sep 10, 2026 |
| Carol Zabala Vaughn | Oppenheimer & Co. Inc. BD affiliated | Sage Mountain Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2026 | Sep 10, 2026 |
| Ian A Yi | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 4, 2026 | Sep 16, 2026 |
| Jared Richard Silverman | Oppenheimer & Co. Inc. BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2026 | Aug 18, 2026 |
| Nicholas John Novak | Oppenheimer & Co. Inc. BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2026 | Aug 18, 2026 |
| Julian Bernard Kasmai | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 14, 2026 | Sep 8, 2026 |
| Stephen Michael Tomkins | Oppenheimer & Co. Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 7, 2026 | Aug 4, 2026 |
| Christopher Lappas | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 7, 2026 | Aug 7, 2026 |
| Michael J Squellati | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 17, 2026 | Jul 15, 2026 |
| Joe T Chan | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 17, 2026 | Jul 15, 2026 |
| Sam Hassas Roudsari | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 17, 2026 | Jul 15, 2026 |
| Christian Alexander St. Vil | Oppenheimer & Co. Inc. BD affiliated | Neuberger Berman Bd LLC no RAUM | Other | Jul 10, 2026 | Jul 16, 2026 |
| Peter Orourke | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 26, 2026 | Jul 16, 2026 |
| Mason Davis | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 26, 2026 | Jul 20, 2026 |
| Patrick Jeffrey Hager | Oppenheimer & Co. Inc. BD affiliated | Theta Wealth Partners state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 18, 2026 | Jun 11, 2026 |
| Edward Lee Winokur | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jun 12, 2026 | Jun 11, 2026 |
| Mitchell Todd Edenbaum | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 5, 2026 | May 29, 2026 |
| Nicholas Joseph Gallino | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 1, 2026 | Jul 10, 2026 (39 d) |
| Su Pyai Sone Naing | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 26, 2026 | Jul 24, 2026 (59 d) |
| Shane Patrick Kelly | Oppenheimer & Co. Inc. BD affiliated | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | May 8, 2026 | May 7, 2026 |
| Hollis Lynn Herman | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2026 | Apr 24, 2026 |
| Maria Luisa Chavez | Oppenheimer & Co. Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Mar 27, 2026 | Apr 1, 2026 |
| Louise Kane | Oppenheimer & Co. Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Mar 13, 2026 | Mar 25, 2026 |
| Frank Ferdinand Castagno | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 13, 2026 | Mar 16, 2026 |
| Mariela Planche | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 13, 2026 | Mar 30, 2026 |
| Gordon Thomas Hasslinger | Oppenheimer & Co. Inc. BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2026 | Apr 2, 2026 |
| Alisa Mindy Harris | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 20, 2026 | May 20, 2026 (89 d) |
| Adrian Tsui | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 9, 2026 | Jan 12, 2026 |
| Gary Michael Weisner | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 19, 2025 | Dec 12, 2025 |
| Patrick Thomas Evans | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 19, 2025 | Dec 12, 2025 |
| Chase Matesich | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 19, 2025 | Dec 12, 2025 |
| Daniel Tyler Holt | Oppenheimer & Co. Inc. BD affiliated | Holt Investment Partners LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 19, 2025 | Feb 2, 2026 (45 d) |
| Maria Luz Prado | Oppenheimer & Co. Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Dec 19, 2025 | May 26, 2026 (158 d) |
| William John Vlahoulis | Oppenheimer & Co. Inc. BD affiliated | Sb Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2025 | Dec 23, 2025 |
| Bryan Finger | Oppenheimer & Co. Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Dec 12, 2025 | Dec 5, 2025 |
| Roman Feagins Reed | Oppenheimer & Co. Inc. BD affiliated | U.S. Capital Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 5, 2025 | Dec 3, 2025 |
| Shane Michael Monaco | Oppenheimer & Co. Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Nov 28, 2025 | Dec 1, 2025 |
| Mark George Serrian | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 21, 2025 | Nov 17, 2025 |
| Ted Ross Emerson | Oppenheimer & Co. Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2025 | Nov 21, 2025 |
| Bruce Andrew Evans | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 21, 2025 | Nov 17, 2025 |
| Ethan Scott Marcus | Oppenheimer & Co. Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 14, 2025 | Dec 9, 2025 |
| Charles Marc Shalmi | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 31, 2025 | Oct 27, 2025 |
| Stephen Alan Jaffe | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 31, 2025 | Oct 28, 2025 |
| Mark Eric Zuckerman | Oppenheimer & Co. Inc. BD affiliated | Oppenheimer Asset Management other | Other | Oct 31, 2025 | Apr 15, 2003 |
| Candia Rose Di Tonno | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 31, 2025 | Oct 28, 2025 |
| John James Pescatore | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 31, 2025 | Oct 29, 2025 |
| Lance P Ross | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 31, 2025 | Oct 27, 2025 |
| Kevin Allen Kuhar | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 31, 2025 | Oct 27, 2025 |
| Logan Shalmi | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 31, 2025 | Oct 28, 2025 |
| Andrew Michael Lerner | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 31, 2025 | Oct 28, 2025 |
| Joseph Cianciotto | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 31, 2025 | Oct 28, 2025 |
| Hector Garcia Aguilar | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 31, 2025 | Oct 27, 2025 |
| Dylan Zack Chappell | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 31, 2025 | Oct 27, 2025 |
| Demos Argyros | Oppenheimer & Co. Inc. BD affiliated | Oppenheimer Asset Management other | Other | Oct 24, 2025 | Apr 15, 2003 |
| David Alan Kaslow | Oppenheimer & Co. Inc. BD affiliated | &Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2025 | Oct 24, 2025 |
| Alejandro Lara Dominguez | Oppenheimer & Co. Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 24, 2025 | Oct 20, 2025 |
| Michael Cary Stalnecker | Oppenheimer & Co. Inc. BD affiliated | &Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2025 | Oct 24, 2025 |
| Hong Anh Mcgill | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2025 | Sep 25, 2025 |
| Christopher John Nicolosi | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2025 | Sep 25, 2025 |
| John C Ericson | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2025 | Jun 12, 2026 (266 d) |
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1,085 moves match.