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 |
|---|---|---|---|---|---|
| Ronald Raymond Desbois | Oppenheimer & Co. Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Aug 28, 2020 | Apr 7, 2022 (587 d) |
| Martha L Raghunauth | Oppenheimer & Co. Inc. BD affiliated | Oxler Private Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 24, 2020 | May 30, 2021 (279 d) |
| Masahiro Alberto Yamazaki | Oppenheimer & Co. Inc. BD affiliated | Oxler Private Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 24, 2020 | Aug 14, 2020 |
| Jonathan Marc Nadler | Oppenheimer & Co. Inc. BD affiliated | Oxler Private Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 24, 2020 | Aug 14, 2020 |
| Marianne Thorne Witte | Oppenheimer & Co. Inc. BD affiliated | Hudson Value Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 7, 2020 | Aug 3, 2020 |
| Anthony Avella | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 7, 2020 | Aug 11, 2020 |
| Peter Edward Mohan | Oppenheimer & Co. Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 24, 2020 | Jul 20, 2020 |
| Joseph Orsini | Oppenheimer & Co. Inc. BD affiliated | Eaglebrook Advisors other | Other | Jul 17, 2020 | Feb 15, 2022 (578 d) |
| Kevin P Fay | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 8, 2020 | Jun 24, 2020 |
| Daniels Petera Dels Voyteshonock | Oppenheimer & Co. Inc. BD affiliated | Coldstream Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 26, 2020 | Aug 6, 2020 (41 d) |
| Casey Mitchell | Oppenheimer & Co. Inc. BD affiliated | Thrivent Asset Management, LLC asset manager | Other | Jun 19, 2020 | Mar 17, 2025 (1732 d) |
| Sandra Costa Lopes | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 5, 2020 | Jul 22, 2020 (47 d) |
| Jennifer Sackett | Oppenheimer & Co. Inc. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jun 5, 2020 | Jun 3, 2020 |
| Tunde Nagy | Oppenheimer & Co. Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 17, 2020 | Apr 16, 2020 |
| Edward Theodore Kemm | Oppenheimer & Co. Inc. BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2020 | Mar 30, 2020 |
| Angela Michelle Graham -West | Oppenheimer & Co. Inc. BD affiliated | Orion Wealth Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 27, 2020 | Feb 15, 2023 (1055 d) |
| Ryan Patrick Gray | Oppenheimer & Co. Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Mar 6, 2020 | Mar 2, 2020 |
| Lisa Grace Terk | Oppenheimer & Co. Inc. BD affiliated | US Capital Global Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 28, 2020 | Feb 28, 2022 (731 d) |
| Louis Patrick Carberry | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 14, 2020 | Feb 19, 2020 |
| Cort Barrett | Oppenheimer & Co. Inc. BD affiliated | White Aspen Capital LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 11, 2020 | Apr 8, 2020 (57 d) |
| Mark Anthony Nasche | Oppenheimer & Co. Inc. BD affiliated | Nasche Asset Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 7, 2020 | May 7, 2020 (90 d) |
| Cynda Lou Wright | Oppenheimer & Co. Inc. BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2020 | Jan 24, 2020 |
| Rebecca Louise Beckett | Oppenheimer & Co. Inc. BD affiliated | Herbert J. Sims Capital Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2020 | Feb 21, 2020 |
| Timothy Patrick Garrettson | Oppenheimer & Co. Inc. BD affiliated | Herbert J. Sims Capital Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2020 | Jul 20, 2021 (543 d) |
| Derrick Lamar Lowery | Oppenheimer & Co. Inc. BD affiliated | Brookwood Wealth Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 17, 2020 | Jan 16, 2020 |
| William Russell Robins | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2020 | Jan 6, 2020 |
| Eugene Nacci | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 10, 2020 | Feb 24, 2020 (45 d) |
| Lorena Rotalde Garrido Lecca | Oppenheimer & Co. Inc. BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 26, 2019 | Jan 13, 2020 |
| Peter James Lamberti | Oppenheimer & Co. Inc. BD affiliated | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 13, 2019 | Dec 11, 2019 |
| Christopher John Coloracci | Oppenheimer & Co. Inc. BD affiliated | Alden Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 6, 2019 | Dec 6, 2019 |
| Curtis J Patterson | Oppenheimer & Co. Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2019 | Dec 5, 2019 |
| Michael Sandberg | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 2, 2019 | Nov 22, 2019 |
| Lawrence Michael Margolin | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 2, 2019 | Nov 22, 2019 |
| Bernard Regis Theis | Oppenheimer & Co. Inc. BD affiliated | Momentum Independent Network Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 22, 2019 | Nov 15, 2019 |
| Thomas Norwood Anderson | Oppenheimer & Co. Inc. BD affiliated | Davenport & Company LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2019 | Oct 24, 2019 |
| Maritza Guerra | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 25, 2019 | Nov 12, 2019 |
| Michael Fahrney Primiani | Oppenheimer & Co. Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Oct 11, 2019 | Jan 3, 2020 (84 d) |
| Kathryn O Cocreham | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 4, 2019 | Nov 20, 2020 (413 d) |
| Janessa Marie Suarez | Oppenheimer & Co. Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 4, 2019 | Oct 24, 2019 |
| David P Schneider | Oppenheimer & Co. Inc. BD affiliated | Pgim Investments LLC asset manager | Other | Oct 4, 2019 | Nov 13, 2019 (40 d) |
| Jorge B Garcia | Oppenheimer & Co. Inc. BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 27, 2019 | Oct 30, 2019 (33 d) |
| David Michael Laufer | Oppenheimer & Co. Inc. BD affiliated | Needham & Company, LLC no RAUM | Other | Sep 20, 2019 | Feb 15, 2023 (1244 d) |
| Michael C. Raissis | Oppenheimer & Co. Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 20, 2019 | Aug 10, 2021 (690 d) |
| Vikas Rishi | Oppenheimer & Co. Inc. BD affiliated | T. Rowe Price Associates, Inc. asset manager | Other | Sep 13, 2019 | Sep 5, 2020 (358 d) |
| Spencer Jones Garrett | Oppenheimer & Co. Inc. BD affiliated | Canal Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 6, 2019 | Oct 9, 2019 (33 d) |
| Susan Iris Stern | Oppenheimer & Co. Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 23, 2019 | Oct 9, 2019 (47 d) |
| Gary Marshall Friedman | Oppenheimer & Co. Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2019 | Sep 30, 2019 (46 d) |
| Michael Steven Mcavoy | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 26, 2019 | Jul 23, 2019 |
| Daniel James Monez | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 19, 2019 | Jul 12, 2019 |
| Kevin Michael Barry | Oppenheimer & Co. Inc. BD affiliated | Kb Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 19, 2019 | Jul 12, 2019 |
| Jordan Charles Kaufman | Oppenheimer & Co. Inc. BD affiliated | Advisory Services Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 12, 2019 | Jul 8, 2019 |
| Michael Lawrence Leake | Oppenheimer & Co. Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 5, 2019 | Jul 8, 2019 |
| Jason Marshall | Oppenheimer & Co. Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 5, 2019 | Jul 3, 2019 |
| Vanessa Trinh Ly | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 5, 2019 | Jul 3, 2019 |
| Robert George Rix | Oppenheimer & Co. Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Jun 28, 2019 | Jun 27, 2019 |
| Sara Elizabeth Lemley | Oppenheimer & Co. Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 21, 2019 | Aug 23, 2019 (63 d) |
| Denise Marla Schachne | Oppenheimer & Co. Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2019 | Jun 29, 2023 (1476 d) |
| Eric David Johnson | Oppenheimer & Co. Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 14, 2019 | Jun 17, 2019 |
| Lawrence Ira Goldstein | Oppenheimer & Co. Inc. BD affiliated | Oppenheimer Asset Management other | Other | Jun 14, 2019 | Apr 15, 2003 |
| Michelle Sule Stewart | Oppenheimer & Co. Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2019 | Jun 29, 2023 (1476 d) |
1,085 moves match.