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
Lawrence S MillerOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherMar 16, 2010May 18, 2010 (63 d)
Susan Smith HoltOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherMar 16, 2010Mar 22, 2010
Vincent Christopher D'AngelisOppenheimer & Co. Inc. otherLPL Financial LLC BD affiliatedOtherMar 16, 2010Mar 19, 2020 (3656 d)
Louis Joseph D'AngelisOppenheimer & Co. Inc. otherLPL Financial LLC BD affiliatedOtherMar 16, 2010Mar 19, 2020 (3656 d)
Leandro Galhardo FensterOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherMar 15, 2010Jun 4, 2010 (81 d)
Mitchell Howard HirschOppenheimer & Co. Inc. otherMorgan Keegan & Company, LLC otherOtherMar 8, 2010Mar 8, 2010
Kenneth Phillip ArnoldOppenheimer & Co. Inc. otherMorgan Keegan & Company, LLC otherOtherMar 8, 2010Mar 8, 2010
Daniel SeghiOppenheimer & Co. Inc. otherFirst Empire Asset Management, Inc otherOtherMar 8, 2010Jun 1, 2012 (816 d)
Dana Paul GoldfarbOppenheimer & Co. Inc. otherRaymond James & Associates, Inc. national BDOtherFeb 19, 2010Feb 22, 2010
Lisa Marie CroyleOppenheimer & Co. Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherFeb 17, 2010Jan 19, 2012 (701 d)
Eliot Dylan MarrOppenheimer & Co. Inc. otherIndependent Financial Partners otherOtherFeb 17, 2010Mar 4, 2010
Darold Charles BrooksOppenheimer & Co. Inc. otherSouthport Capital otherOtherFeb 17, 2010Mar 10, 2010
Nicholas George BroskyOppenheimer & Co. Inc. otherCitigroup Global Markets Inc. otherOtherFeb 3, 2010Feb 18, 2010
Andrew Lewis KloessOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherFeb 3, 2010Sep 27, 2010 (236 d)
Scott Michael AlbrightOppenheimer & Co. Inc. otherHorizon Investments LLC otherOtherFeb 2, 2010Aug 20, 2010 (199 d)
William Joseph ScottOppenheimer & Co. Inc. otherBarclays Capital Inc. otherOtherJan 20, 2010Jan 15, 2010
Andrew Steven PritsiosOppenheimer & Co. Inc. otherBarclays Capital Inc. otherOtherJan 20, 2010Jan 19, 2010
Michael Mordechi CharneOppenheimer & Co. Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 20, 2010Jan 15, 2010
Mark GarkaviOppenheimer & Co. Inc. otherFirst Allied Securities, Inc. otherOtherJan 12, 2010Jan 4, 2010
Robin Sue JarvisOppenheimer & Co. Inc. otherCambridge Investment Research Advisors, Inc. otherOtherDec 31, 2009Mar 3, 2010 (62 d)
Alan Michael EppersOppenheimer & Co. Inc. otherEquitable Advisors, LLC national BDOtherDec 21, 2009Dec 16, 2009
Jeannette Michelle MonroeOppenheimer & Co. Inc. otherRehmann Wealth otherOtherDec 1, 2009Aug 4, 2011 (611 d)
Breanne Lynn VugteveenOppenheimer & Co. Inc. otherLPL Financial LLC otherOtherDec 1, 2009Jan 28, 2010 (58 d)
Dennis Michael ZatorOppenheimer & Co. Inc. otherChicago Investment Group Advisors, LLC unclassifiedOtherNov 17, 2009Dec 2, 2009
Robert Matthew FunkOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherNov 16, 2009Feb 1, 2012 (807 d)
Stephanie Anne NilsenOppenheimer & Co. Inc. otherOsaic Wealth, Inc. otherOtherNov 2, 2009Mar 10, 2010 (128 d)
Adrian Brendan KieransOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherNov 2, 2009Oct 22, 2009
Scott Stephen ChaissonOppenheimer & Co. Inc. otherCapital Guardian Wealth Management, LLC otherOtherOct 15, 2009Jul 20, 2012 (1009 d)
Stephen A. ShepherdOppenheimer & Co. Inc. otherWoodbury Financial Services, Inc. otherOtherSep 30, 2009Sep 24, 2009
William SelvaggiOppenheimer & Co. Inc. otherLantern Wealth Advisors, LLC otherOtherSep 15, 2009Sep 22, 2011 (737 d)
Scott Eric NotowichOppenheimer & Co. Inc. otherHighland Capital Management, LLC otherOtherAug 4, 2009Feb 19, 2014 (1660 d)
Jeffrey Mark RicksOppenheimer & Co. Inc. otherCommonwealth Financial Network national BDOtherJul 29, 2009Aug 14, 2009
Michael Dennis DegolierOppenheimer & Co. Inc. otherCommonwealth Financial Network national BDOtherJul 29, 2009Aug 14, 2009
Shawn Forrest MorganOppenheimer & Co. Inc. otherRiverstone Wealth Management otherOtherJul 29, 2009Jul 22, 2009
Charles Hunter WidenerOppenheimer & Co. Inc. otherMML Investors Services, LLC otherOtherJul 22, 2009May 19, 2010 (301 d)
Jon NeeOppenheimer & Co. Inc. otherFifth Third Securities, Inc. otherOtherJul 22, 2009Aug 3, 2009
Noreen F MckillopOppenheimer & Co. Inc. otherChase Investment Services Corp. otherOtherJul 7, 2009Aug 5, 2009
Brant ShrimplinOppenheimer & Co. Inc. otherLPL Financial LLC otherOtherJul 7, 2009Jul 14, 2009
Chau My QuachOppenheimer & Co. Inc. otherCommonwealth Financial Network national BDOtherJul 7, 2009Jul 8, 2009
Seth Michael WhitneyOppenheimer & Co. Inc. otherRiverstone Wealth Management otherOtherJul 7, 2009Jul 24, 2009
Roger Lee FullerOppenheimer & Co. Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherJul 6, 2009Jun 16, 2009
Dilda Deepak DalviOppenheimer & Co. Inc. otherRaymond James & Associates, Inc. national BDOtherJul 6, 2009Apr 3, 2017 (2828 d)
Mitchell Scott KahnOppenheimer & Co. Inc. otherLPL Financial LLC otherOtherJun 24, 2009Jun 7, 2011 (713 d)
Daniel Doyce PayneOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherJun 17, 2009Jul 11, 2014 (1850 d)
Lindsey Nelson TooleOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherJun 17, 2009Jul 17, 2009
Christopher Neil BenedictOppenheimer & Co. Inc. otherCitigroup Global Markets Inc. otherOtherJun 4, 2009May 28, 2009
Heather N MorrowOppenheimer & Co. Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJun 4, 2009Jul 7, 2009 (33 d)
Andrew Wayne ErismanOppenheimer & Co. Inc. otherOppenheimer Asset Management otherOtherMay 20, 2009Apr 15, 2003
Robert Philip CarterOppenheimer & Co. Inc. otherFreestone Capital Management, LLC otherOtherMay 20, 2009May 21, 2009
Mark Wheeler HarrisOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherMay 12, 2009May 8, 2009
Larry Philip IsaacsOppenheimer & Co. Inc. otherDakota Financial Management otherOtherMay 4, 2009Mar 25, 2010 (325 d)
Vanessa Elena BrownOppenheimer & Co. Inc. otherMorgan Keegan & Company, LLC otherOtherMay 1, 2009Jan 28, 2010 (272 d)
James Daniel HitchcockOppenheimer & Co. Inc. otherRaymond James & Associates, Inc. national BDOtherApr 23, 2009Apr 17, 2009
Mark Louis MoninOppenheimer & Co. Inc. otherRaymond James & Associates, Inc. national BDOtherApr 23, 2009Apr 17, 2009
Gregory FerdinandOppenheimer & Co. Inc. otherAmeriprise Advisor Services, Inc. unclassifiedOtherApr 2, 2009Apr 8, 2009
Carlos Alfonso SorianoOppenheimer & Co. Inc. otherCalamos Wealth Management LLC otherOtherApr 2, 2009Sep 28, 2009 (179 d)
Yves Andre GeniauxOppenheimer & Co. Inc. otherGc Alternative Management, LLC state registeredOtherMar 26, 2009Feb 18, 2025 (5808 d)
Russell Marc FiskeOppenheimer & Co. Inc. otherJoseph Gunnar & Co., LLC otherOtherMar 17, 2009Mar 13, 2009
David Alan MelbyOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherMar 2, 2009Feb 27, 2009
Jonathan GreeneOppenheimer & Co. Inc. otherDominick & Dominick LLC otherOtherFeb 25, 2009Feb 24, 2009
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1,085 moves match.