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 |
|---|---|---|---|---|---|
| Joseph Robert Watson | Oppenheimer & Co. Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Apr 21, 2023 | Apr 19, 2023 |
| Benjamin House | Oppenheimer & Co. Inc. BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2023 | Aug 14, 2024 (481 d) |
| Paul Allan Mcfeeley | Oppenheimer & Co. Inc. BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2023 | Jan 1, 2025 (625 d) |
| Katherine Kelly | Oppenheimer & Co. Inc. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2023 | Jun 8, 2023 (66 d) |
| Shannon Lee Beck | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 24, 2023 | Apr 19, 2023 |
| Trevor Jon Howard | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 17, 2023 | Mar 16, 2023 |
| Cynthia Anne Kelley | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 17, 2023 | Mar 24, 2023 |
| Robert Andrew Kolenberg | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 17, 2023 | Apr 3, 2023 |
| Robert D Williams | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 17, 2023 | Mar 20, 2023 |
| Marino Ilija Patrk | Oppenheimer & Co. Inc. BD affiliated | Hudson Value Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 10, 2023 | Mar 3, 2023 |
| Chase Toberman Heiden | Oppenheimer & Co. Inc. BD affiliated | Chicago Capital Management Advisors, LLC other | Other | Mar 3, 2023 | Mar 14, 2023 |
| Alexandra Fiona Babb | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 24, 2023 | Feb 22, 2023 |
| Dustin R Hays | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 24, 2023 | Apr 4, 2023 (39 d) |
| Timothy Nielsen | Oppenheimer & Co. Inc. BD affiliated | Moneta Group Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 27, 2023 | Feb 9, 2023 |
| Mark Edward Yadgaroff | Oppenheimer & Co. Inc. BD affiliated | Stephens BD affiliated | Affiliated broker-dealer or bank to another | Jan 20, 2023 | Jan 17, 2023 |
| Gabriel S Berger | Oppenheimer & Co. Inc. BD affiliated | Stephens BD affiliated | Affiliated broker-dealer or bank to another | Jan 20, 2023 | Jan 19, 2023 |
| David Norman Dunn | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jan 13, 2023 | Jan 10, 2023 |
| Eric F Cheng | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jan 13, 2023 | Jan 10, 2023 |
| Peter Spoto | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 6, 2023 | Aug 11, 2023 (217 d) |
| John Daniel Traut | Oppenheimer & Co. Inc. BD affiliated | Stratos Wealth Partners, Ltd BD affiliated | Affiliated broker-dealer or bank to another | Dec 22, 2022 | May 8, 2023 (137 d) |
| Alexander S Garrett | Oppenheimer & Co. Inc. BD affiliated | Regimen Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 16, 2022 | Feb 23, 2023 (69 d) |
| Kyle Cline | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 16, 2022 | Jan 6, 2023 |
| Alan Lee Feinberg | Oppenheimer & Co. Inc. BD affiliated | Sb Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2022 | Jan 1, 2025 (751 d) |
| Lisa M Barone | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 9, 2022 | Dec 15, 2022 |
| Maria C Palumbo | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 2, 2022 | Dec 15, 2022 |
| John Neal Lavelle | Oppenheimer & Co. Inc. BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2022 | Mar 15, 2024 (469 d) |
| Allen Saffrahn | Oppenheimer & Co. Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 28, 2022 | Nov 30, 2022 |
| Denise Ann Westbrook | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 11, 2022 | Dec 20, 2022 (39 d) |
| Aaron Elsworth Towns | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 28, 2022 | Oct 26, 2022 |
| William C Yuen | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Oct 21, 2022 | Oct 19, 2022 |
| John Esko Delamater | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 18, 2022 | Nov 11, 2022 |
| Richard Eric Mudd | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 7, 2022 | Nov 13, 2023 (402 d) |
| Robert Louis Takacs | Oppenheimer & Co. Inc. BD affiliated | Sb Advisory, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 23, 2022 | Sep 19, 2022 |
| Svitlana S Kyrukhina | Oppenheimer & Co. Inc. BD affiliated | Kingswood Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 23, 2022 | Sep 21, 2022 |
| Joseph Battista Guerra | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 23, 2022 | Sep 15, 2022 |
| Taylor Masson | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 23, 2022 | Oct 27, 2022 (34 d) |
| William Henry Hamel | Oppenheimer & Co. Inc. BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Sep 2, 2022 | Sep 1, 2022 |
| William M Bertscha | Oppenheimer & Co. Inc. BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2022 | Jun 3, 2026 (1371 d) |
| Michael Lee Blumenfeld | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 19, 2022 | Aug 19, 2022 |
| Erik Lynch | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 12, 2022 | Aug 18, 2022 |
| Ronald Lee Gershon | Oppenheimer & Co. Inc. BD affiliated | Oppenheimer Asset Management other | Other | Jul 22, 2022 | Apr 15, 2003 |
| Jay-E S Emmingham | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 22, 2022 | Aug 19, 2022 |
| Mark Leonard Silvester | Oppenheimer & Co. Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2022 | Jul 21, 2022 |
| Brent Charles Ion | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 3, 2022 | Sep 10, 2026 (1560 d) |
| Wendy Mcgowan Allen | Oppenheimer & Co. Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2022 | Jun 6, 2022 |
| Milena Diaz | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jun 3, 2022 | Jun 15, 2022 |
| Randall Clay Pickett | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 20, 2022 | May 18, 2022 |
| Amy Crue | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 20, 2022 | Jun 14, 2022 |
| Leslie Gail Stephenson | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 20, 2022 | May 18, 2022 |
| Monica Amador Potts | Oppenheimer & Co. Inc. BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2022 | Jul 8, 2022 (49 d) |
| Steven Patrick Whelan | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | May 16, 2022 | May 13, 2022 |
| Francesca Milde | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 16, 2022 | Jun 8, 2022 |
| Rhonda Lynn Mcniel | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | May 16, 2022 | May 16, 2022 |
| Jonathan Shenkman | Oppenheimer & Co. Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2022 | May 6, 2022 |
| Gavin Rodefer | Oppenheimer & Co. Inc. BD affiliated | Wealthfront Advisers LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 6, 2022 | May 12, 2022 |
| Shannon Madeline Moses | Oppenheimer & Co. Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 21, 2022 | Apr 18, 2022 |
| Eileen M Burns | Oppenheimer & Co. Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 28, 2022 | Mar 21, 2022 |
| Nicholas David Olivas | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 18, 2022 | Mar 14, 2022 |
| Alfred Bonardi | Oppenheimer & Co. Inc. BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2022 | Mar 9, 2022 |
| Kelly Jean Warner | Oppenheimer & Co. Inc. BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2022 | Mar 9, 2022 |
1,085 moves match.