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.

AdvisorFromToTypeLeftRegistered
Neil SternOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherJun 3, 2014May 21, 2014
Glenn Douglas GlazerOppenheimer & Co. Inc. otherAegis Capital Corp. BD affiliatedOtherMay 19, 2014Jan 6, 2026 (4250 d)
Donald Richard MillerOppenheimer & Co. Inc. otherScf Investment Advisors, Inc. otherOtherMay 19, 2014May 16, 2014
Jeffrey Howard NesselOppenheimer & Co. Inc. otherOnedigital otherOtherMay 19, 2014May 9, 2014
Linda BruciaOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherMay 1, 2014Apr 24, 2014
Michael Ganaden BascoOppenheimer & Co. Inc. otherB. Riley Wealth Advisors, Inc. otherOtherApr 24, 2014Apr 30, 2014
Lawrence WeilOppenheimer & Co. Inc. otherNorthwestern Mutual Investment Services,LLC otherOtherApr 22, 2014May 28, 2014 (36 d)
Thomas B. AndersonOppenheimer & Co. Inc. otherJ.P. Morgan Securities LLC wirehouseOtherApr 8, 2014Apr 17, 2014
Gregory John MistovichOppenheimer & Co. Inc. otherVanderbilt Advisory Services otherOtherApr 8, 2014Jul 12, 2016 (826 d)
Carol Jeanette PipitoneOppenheimer & Co. Inc. otherCalton & Associates, Inc. otherOtherMar 17, 2014Mar 17, 2014
Darren BobleyOppenheimer & Co. Inc. otherRaymond James Financial Services Advisors, Inc otherOtherMar 14, 2014Mar 19, 2014
Johnny Earl BurrisOppenheimer & Co. Inc. otherBurris Wealth Management, Inc. state registeredOtherMar 14, 2014May 13, 2014 (60 d)
Mark Alexander SoukupOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherFeb 20, 2014Mar 7, 2014
James Grant VarzalOppenheimer & Co. Inc. otherOsaic Wealth, Inc. BD affiliatedOtherFeb 18, 2014Aug 22, 2018 (1646 d)
Bryan David FrancoOppenheimer & Co. Inc. otherOppenheimer Asset Management otherOtherFeb 18, 2014Apr 13, 2011
Renee Rose WoodfordOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherJan 16, 2014Jan 15, 2014
Patrick McgrathOppenheimer & Co. Inc. otherNortheast Asset Management LLC otherOtherJan 14, 2014Dec 10, 2014 (330 d)
Alan Neal TocmanOppenheimer & Co. Inc. otherOnyx Bridge Wealth Group LLC independent RIAOtherDec 13, 2013Jul 22, 2021 (2778 d)
Lynne K MillerOppenheimer & Co. Inc. otherUBS Financial Services Inc. wirehouseOtherDec 9, 2013Jan 22, 2015 (409 d)
Stephen Robert WalshOppenheimer & Co. Inc. otherPnc Wealth Management otherOtherDec 4, 2013Dec 23, 2013
Lynn Ann BolandOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherDec 4, 2013Nov 25, 2013
Edwin Joseph FeinourOppenheimer & Co. Inc. otherFifth Third Securities, Inc. otherOtherNov 25, 2013Oct 8, 2015 (682 d)
David George HallingOppenheimer & Co. Inc. otherNich Capital Partners, Inc. independent RIAOtherNov 19, 2013Jan 1, 2026 (4426 d)
John Clancy RocheOppenheimer & Co. Inc. otherPnc Wealth Management otherOtherNov 19, 2013Nov 22, 2013
James E. WhiteOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherOct 21, 2013Oct 18, 2013
Mark David MazmanOppenheimer & Co. Inc. otherOppenheimer Asset Management otherOtherOct 16, 2013Apr 15, 2003
Michael James ChibidakisOppenheimer & Co. Inc. otherRaymond James Financial Services Advisors, Inc otherOtherOct 3, 2013Oct 17, 2013
James Stuart FalconeOppenheimer & Co. Inc. otherCetera Advisor Networks LLC otherOtherSep 6, 2013Sep 3, 2013
Matthew Joseph MarksOppenheimer & Co. Inc. otherRaymond James & Associates, Inc. national BDOtherAug 19, 2013Aug 29, 2013
Tara GrinhamOppenheimer & Co. Inc. otherStrategic Advisers LLC national BDOtherAug 19, 2013Sep 18, 2013
Brian CorbettOppenheimer & Co. Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherAug 12, 2013Aug 26, 2013
Marjan KamyarOppenheimer & Co. Inc. otherLarson Financial Group, LLC otherOtherAug 2, 2013Jul 22, 2013
Brynn Alexandra MorrisOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherAug 2, 2013Jul 19, 2013
Michael Stevan RoseOppenheimer & Co. Inc. otherCetera Advisor Networks LLC otherOtherAug 2, 2013Jul 26, 2013
Lawrence Keith BogarOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherJul 15, 2013Jul 18, 2013
Jack Gilbert RussellOppenheimer & Co. Inc. otherSterne Agee Asset Management, Inc. otherOtherJul 15, 2013Apr 2, 2014 (261 d)
Maria C PalumboOppenheimer & Co. Inc. otherBarclays Capital Inc. otherOtherJul 15, 2013Aug 30, 2013 (46 d)
John Stephen GrubbsOppenheimer & Co. Inc. otherColumbia River Advisors otherOtherJul 15, 2013Jul 15, 2013
Gregg Michael GelberOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherJul 15, 2013Jul 8, 2013
Mario Nicholas PantaleoOppenheimer & Co. Inc. otherOppenheimer Asset Management otherOtherJun 17, 2013Apr 15, 2003
David Andrew KenkelOppenheimer & Co. Inc. otherOutfitter Advisors, Ltd. otherOtherJun 4, 2013May 29, 2013
Richard ColeOppenheimer & Co. Inc. otherCitizens Securities, Inc. otherOtherJun 3, 2013Oct 24, 2014 (508 d)
Iris Yuderka GomezOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherMay 16, 2013May 6, 2013
Jerome Frank NilesOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherMay 15, 2013May 6, 2013
John Gerard CarsonOppenheimer & Co. Inc. otherNorthstar Asset Management LLC independent RIAOtherApr 2, 2013Dec 10, 2019 (2443 d)
Walter Perry HodgdenOppenheimer & Co. Inc. otherFiduciary Standard, LLC state registeredOtherApr 2, 2013Apr 4, 2013
Richard CossaOppenheimer & Co. Inc. otherModern Capital Advisors, LLC otherOtherMar 15, 2013Mar 14, 2013
Laura Lee WhiteOppenheimer & Co. Inc. otherUBS Financial Services Inc. wirehouseOtherMar 4, 2013Feb 19, 2013
Malcolm Greene ChaceOppenheimer & Co. Inc. otherWhalerock Point Partners, LLC otherOtherMar 4, 2013Mar 27, 2015 (753 d)
Christin Duncan SimonOppenheimer & Co. Inc. otherRaymond James & Associates, Inc. national BDOtherMar 4, 2013Mar 7, 2013
Martin Edward NorciniOppenheimer & Co. Inc. otherUBS Financial Services Inc. wirehouseOtherFeb 26, 2013Feb 19, 2013
Joseph Francis O'LoughlinOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherFeb 25, 2013Feb 22, 2013
Richard Eugene BorishOppenheimer & Co. Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherFeb 19, 2013Feb 12, 2013
Joshua Paul DoppOppenheimer & Co. Inc. otherRBC Securities, Inc. otherOtherFeb 19, 2013Jan 31, 2013
Matthew Jason McloyOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherFeb 12, 2013Feb 11, 2013
Fredrik Magnus VirginOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherFeb 1, 2013Feb 5, 2013
Michael HerzbergOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherFeb 1, 2013Feb 5, 2013
Anna SitnerOppenheimer & Co. Inc. otherJ.P. Morgan Securities LLC wirehouseOtherJan 29, 2013Jan 22, 2013
Michael KissiOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherDec 19, 2012Aug 2, 2013 (226 d)
Marcellus Joseph HollendonerOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherDec 3, 2012Nov 15, 2012
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1,085 moves match.