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
Ryan EinigOppenheimer & Co. Inc. otherUBS Financial Services Inc. wirehouseOtherDec 3, 2012Jul 5, 2017 (1675 d)
James Sean LebaronOppenheimer & Co. Inc. otherJanney Montgomery Scott LLC otherOtherNov 13, 2012Oct 19, 2012
Haygood SeawellOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherOct 15, 2012Oct 5, 2012
Arthur Joseph KoleOppenheimer & Co. Inc. otherSterne Agee Investment Advisor Services, Inc. otherOtherOct 2, 2012Jan 28, 2013 (118 d)
Sailing David AdlerOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherOct 1, 2012Oct 1, 2012
Nevin KaulOppenheimer & Co. Inc. other1st Portfolio Wealth Advisors otherOtherOct 1, 2012Nov 5, 2012 (35 d)
Richard Hall LeistOppenheimer & Co. Inc. otherSummit Financial Group Inc otherOtherSep 7, 2012Sep 11, 2012
Ryland T. CorryOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherSep 7, 2012Aug 21, 2012
Douglas D DinzikOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherSep 4, 2012Sep 4, 2012
Benjamin Jay SilbermanOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherSep 4, 2012Sep 4, 2012
Jeffrey RodvienOppenheimer & Co. Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherAug 31, 2012Aug 30, 2012
Curtis Ray PuringtonOppenheimer & Co. Inc. otherFiduciary Wealth state registeredOtherAug 13, 2012Nov 4, 2013 (448 d)
Joseph Clayton OstromOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherJul 19, 2012Jun 29, 2012
Kent R MitchellOppenheimer & Co. Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJul 19, 2012Jul 19, 2012
John Christopher WoodromeOppenheimer & Co. Inc. otherInvest Financial Corporation otherOtherJul 19, 2012Aug 1, 2012
Nathaniel Sartell PrenticeOppenheimer & Co. Inc. otherAltium Wealth Management LLC otherOtherJun 18, 2012Jun 28, 2012
Robert David HaggardOppenheimer & Co. Inc. otherAcg Wealth Inc. otherOtherJun 15, 2012Sep 18, 2015 (1190 d)
Lawrence Jay KalishOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherJun 15, 2012Jul 12, 2012
Frank Stephen FreniOppenheimer & Co. Inc. otherLPL Financial LLC otherOtherJun 15, 2012Jun 12, 2012
Allen Christopher MortonOppenheimer & Co. Inc. otherJ.P. Morgan Securities LLC wirehouseOtherJun 15, 2012Apr 30, 2021 (3241 d)
Jacqueline SchmidtOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherJun 5, 2012Jul 30, 2020 (2977 d)
William Matthew LawlorOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherMay 2, 2012May 2, 2012
Thomas Joseph ManettaOppenheimer & Co. Inc. otherAvant-Garde Advisors LLC otherOtherMay 2, 2012Jun 18, 2012 (47 d)
John Peter HansenOppenheimer & Co. Inc. otherManulife Investment Management (US) LLC otherOtherMay 2, 2012Dec 21, 2012 (233 d)
Stephen Gerard ParkerOppenheimer & Co. Inc. otherTsn Management Inc. state registeredOtherApr 17, 2012May 27, 2022 (3692 d)
Julie Diane FliederOppenheimer & Co. Inc. otherUnited Capital Financial Advisors otherOtherApr 17, 2012May 17, 2012
Jonathan Richard BathOppenheimer & Co. Inc. otherPark Avenue Securities LLC otherOtherApr 17, 2012May 11, 2012
Kristin Margaret PughOppenheimer & Co. Inc. otherTruewealth Management otherOtherApr 3, 2012Jul 15, 2013 (468 d)
Linda BruciaOppenheimer & Co. Inc. otherNext Financial Group, Inc. otherOtherApr 3, 2012Apr 2, 2012
Alexandra Amore CavallaroOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherMar 16, 2012Mar 5, 2012
Anthony Nicholas CorraoOppenheimer & Co. Inc. otherFirst Allied Advisory Services, Inc. otherOtherMar 2, 2012Feb 17, 2012
Christopher Allan ClarkOppenheimer & Co. Inc. otherLPL Financial LLC otherOtherFeb 21, 2012Feb 16, 2012
Steven Albert SchulteOppenheimer & Co. Inc. otherRaymond James Financial Services Advisors, Inc otherOtherFeb 21, 2012Jul 11, 2013 (506 d)
Mitchell James RossOppenheimer & Co. Inc. otherOppenheimer Asset Management otherOtherFeb 16, 2012Sep 30, 2005
Timothy Luke WynneOppenheimer & Co. Inc. otherFeltl Advisors otherOtherFeb 2, 2012Sep 16, 2013 (592 d)
Robert Eugene LongOppenheimer & Co. Inc. otherFeltl And Company otherOtherFeb 2, 2012Jun 6, 2013 (490 d)
Kevin W TaylorOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherFeb 2, 2012Jan 18, 2012
Michael Thomas BoettcherOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherFeb 2, 2012Jan 13, 2012
Robert Alan ReubenOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherJan 18, 2012Jan 6, 2012
John R FussellOppenheimer & Co. Inc. otherSamalin Wealth otherOtherJan 18, 2012Nov 9, 2015 (1391 d)
Annette RuhOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherJan 18, 2012Jan 12, 2012
John Blaise EbaniettiOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherJan 17, 2012Jan 17, 2012
Christopher Laurence SwaineOppenheimer & Co. Inc. otherTd Ameritrade, Inc. no RAUMOtherJan 5, 2012Aug 6, 2012 (214 d)
Brian Michael RayfieldOppenheimer & Co. Inc. otherOppenheimer Asset Management otherOtherDec 16, 2011Apr 15, 2003
Bennett GordonOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherNov 18, 2011Nov 18, 2011
Jeremy David BardinOppenheimer & Co. Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherNov 18, 2011Feb 25, 2015 (1195 d)
Jaimee Lynn FarringtonOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherNov 18, 2011Jan 26, 2012 (69 d)
Julio AlmeydaOppenheimer & Co. Inc. otherTruist Advisory Services, Inc. no RAUMOtherNov 11, 2011Aug 16, 2016 (1740 d)
Eli MoallemOppenheimer & Co. Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherOct 4, 2011Sep 23, 2011
Michael David GoodmanOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherOct 4, 2011Oct 3, 2011
Robert J BoulangerOppenheimer & Co. Inc. otherEdward Jones national BDOtherOct 4, 2011Oct 3, 2011
Glenn Carl KrauseOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherSep 26, 2011Sep 29, 2011
Jorge Scott QuintoOppenheimer & Co. Inc. otherCredit Suisse Securities (USA) LLC otherOtherSep 15, 2011Sep 16, 2011
Gennaro VuonoOppenheimer & Co. Inc. otherCetera Advisor Networks LLC otherOtherAug 17, 2011Aug 11, 2011
Alberto RoditiOppenheimer & Co. Inc. otherNew River Investments state registeredOtherAug 17, 2011Oct 20, 2025 (5178 d)
Kathleen Ann HeitOppenheimer & Co. Inc. otherClayton Wealth Partners otherOtherAug 17, 2011Aug 11, 2011
John Beatty LynchOppenheimer & Co. Inc. otherOppenheimer Asset Management otherOtherAug 8, 2011May 4, 2004
Mark James FontanaOppenheimer & Co. Inc. otherThrivent Investment Management Inc. otherOtherJul 26, 2011Jul 27, 2011
Anthony James MazzoOppenheimer & Co. Inc. otherUBS Financial Services Inc. wirehouseOtherJul 26, 2011Jul 25, 2011
Matthew WinthropOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherJul 15, 2011Jul 14, 2011
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1,085 moves match.