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 |
|---|---|---|---|---|---|
| Breanna M Latt | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 14, 2024 | Jun 26, 2024 |
| Robert James Hobson | Oppenheimer & Co. Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 7, 2024 | Jun 17, 2024 |
| Michael Kessel | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 24, 2024 | May 22, 2024 |
| Treva Marie Nostdahl | Oppenheimer & Co. Inc. BD affiliated | Retirable independent RIA | Affiliated broker-dealer or bank to independent RIA | May 24, 2024 | Jun 24, 2024 (31 d) |
| Connor Porrell | Oppenheimer & Co. Inc. BD affiliated | Cg Advisory Services independent RIA | Affiliated broker-dealer or bank to independent RIA | May 17, 2024 | May 29, 2024 |
| Francis Edoria | Oppenheimer & Co. Inc. BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Mar 8, 2024 | Nov 21, 2025 (623 d) |
| Benjamin Smolen | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 1, 2024 | Apr 30, 2024 (60 d) |
| William Macknight Pomeroy | Oppenheimer & Co. Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Feb 16, 2024 | Feb 16, 2024 |
| Dean Andrew Bahniuk | Oppenheimer & Co. Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Feb 16, 2024 | Feb 16, 2024 |
| Samuel Horn | Oppenheimer & Co. Inc. BD affiliated | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 12, 2024 | Jul 29, 2025 (533 d) |
| Richard Stearns Alles | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 9, 2024 | Feb 2, 2024 |
| Kevin Wayne Hawkinson | Oppenheimer & Co. Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Feb 9, 2024 | Feb 9, 2024 |
| Douglas William Damrow | Oppenheimer & Co. Inc. BD affiliated | Trust Investment Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 9, 2024 | Feb 14, 2024 |
| Michel Ross Girardi | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 5, 2024 | Feb 9, 2024 |
| Robert Elvin Hendrix | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 12, 2024 | Mar 28, 2024 (76 d) |
| Hui Zhu | Oppenheimer & Co. Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jan 2, 2024 | Mar 26, 2024 (84 d) |
| Brian Johnson | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 1, 2023 | Jan 23, 2024 (53 d) |
| Graham Hawes | Oppenheimer & Co. Inc. BD affiliated | Captrust institutional | Other | Nov 26, 2023 | Jan 17, 2024 (52 d) |
| Eddy Joseph Gutierrez | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 17, 2023 | Nov 13, 2023 |
| Patrick Joseph Carlin | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 17, 2023 | Nov 13, 2023 |
| Jacob Bauman | Oppenheimer & Co. Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Nov 17, 2023 | Dec 11, 2023 |
| Teigen D'Eston-Schlegel Fraker | Oppenheimer & Co. Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 17, 2023 | Nov 27, 2023 |
| Steven Michael Keesal | Oppenheimer & Co. Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Nov 3, 2023 | Oct 30, 2023 |
| Andrew Joseph Koris | Oppenheimer & Co. Inc. BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 3, 2023 | Oct 31, 2023 |
| Brianne Marie Walsh | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 3, 2023 | Nov 3, 2023 |
| Peter Navaretta | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 20, 2023 | Oct 16, 2023 |
| Peter J Navaretta | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 20, 2023 | Oct 16, 2023 |
| Yanni Ali Saderi | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 20, 2023 | Nov 8, 2023 |
| Ross Paul Bruner | Oppenheimer & Co. Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 13, 2023 | May 16, 2024 (216 d) |
| Behzad Mansouri | Oppenheimer & Co. Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Oct 12, 2023 | Aug 23, 2024 (316 d) |
| Deborah A. Goldberg | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 29, 2023 | Oct 19, 2023 |
| Matthew Aaron Lusardi | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 15, 2023 | Sep 13, 2023 |
| William Ryan Shreero | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 8, 2023 | Oct 10, 2023 (32 d) |
| Jacob Harry Rose | Oppenheimer & Co. Inc. BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2023 | Dec 4, 2023 (95 d) |
| Eric Serfaty | Oppenheimer & Co. Inc. BD affiliated | Insigneo Advisory Services, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Aug 25, 2023 | Aug 22, 2023 |
| Georgia Lauren Lord | Oppenheimer & Co. Inc. BD affiliated | Spire Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2023 | Mar 4, 2024 (192 d) |
| Michael Dicambio | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Aug 18, 2023 | Aug 16, 2023 |
| Harris Stephen Tuchman | Oppenheimer & Co. Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Aug 18, 2023 | Aug 17, 2023 |
| Daniel Andreas Vardag | Oppenheimer & Co. Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Aug 18, 2023 | Aug 16, 2023 |
| Beverly Ellen Tittle | Oppenheimer & Co. Inc. BD affiliated | Texas Capital Bank Private Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 18, 2023 | Apr 18, 2025 (609 d) |
| Sarah Elizabeth Henley | Oppenheimer & Co. Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2023 | Sep 7, 2023 |
| David Richard Snyder | Oppenheimer & Co. Inc. BD affiliated | Journey 1 Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 11, 2023 | Oct 3, 2023 (53 d) |
| Julie Ann Powers | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 11, 2023 | Aug 4, 2023 |
| Carl Richard Todd | Oppenheimer & Co. Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 4, 2023 | Jul 31, 2023 |
| Michelle B Tauchen | Oppenheimer & Co. Inc. BD affiliated | Statler Financial Services, Inc. unclassified | Other | Aug 4, 2023 | Sep 5, 2023 (32 d) |
| Leonard James Scandariato | Oppenheimer & Co. Inc. BD affiliated | Oppenheimer Asset Management other | Other | Jul 21, 2023 | Apr 15, 2003 |
| David Brian Schaum | Oppenheimer & Co. Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2023 | Jul 17, 2023 |
| Jorge E Romero | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2023 | Jun 29, 2023 |
| John Patrick Keating | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 16, 2023 | Jul 13, 2023 |
| Farrahlyn S Vo | Oppenheimer & Co. Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Jun 16, 2023 | Jul 19, 2023 (33 d) |
| James Makrianes | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 16, 2023 | Jul 17, 2023 (31 d) |
| Thomas Francis Theodorou | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 16, 2023 | Jul 10, 2023 |
| Seth Benjamin Schoen | Oppenheimer & Co. Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2023 | Jun 5, 2023 |
| William Howard | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 1, 2023 | May 25, 2023 |
| David Beaton | Oppenheimer & Co. Inc. BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 26, 2023 | May 31, 2023 |
| Simone Clarke | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 19, 2023 | Jan 10, 2024 (236 d) |
| Benjamin Holland | Oppenheimer & Co. Inc. BD affiliated | Fpg Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 5, 2023 | Apr 28, 2023 |
| Jared Kirschenbaum | Oppenheimer & Co. Inc. BD affiliated | Mesirow Financial Investment Management, Inc. other | Other | May 5, 2023 | Sep 28, 2023 (146 d) |
| Jessica Lis | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 5, 2023 | May 11, 2023 |
| Diana Elizabeth Ceylan | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 28, 2023 | May 9, 2023 |
1,085 moves match.