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
Tina SohnOppenheimer & Co. Inc. otherLPL Financial LLC BD affiliatedOtherMar 19, 2018Aug 3, 2021 (1233 d)
Daniel Cassidy AlipertiOppenheimer & Co. Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMar 16, 2018Jun 12, 2018 (88 d)
Tammie Lynn MccoyOppenheimer & Co. Inc. otherCuna Brokerage Services, Inc. BD affiliatedOtherMar 14, 2018Oct 11, 2021 (1307 d)
Jason Raymond SaveyOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherMar 9, 2018Mar 22, 2018
Edward PontarelliOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherMar 2, 2018Feb 24, 2018
Carrie Aurora McphersonOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherMar 2, 2018Mar 1, 2018
Michael Ward SilvermanOppenheimer & Co. Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherFeb 23, 2018Feb 20, 2018
Karen Deborah MorseOppenheimer & Co. Inc. otherLPL Financial LLC independent RIAOtherFeb 23, 2018Feb 22, 2018
Steve Paul LawrenceOppenheimer & Co. Inc. otherLPL Financial LLC independent RIAOtherFeb 23, 2018Feb 16, 2018
Thomas William AndertonOppenheimer & Co. Inc. otherLPL Financial LLC independent RIAOtherFeb 23, 2018Feb 22, 2018
Ryan Colby HowardOppenheimer & Co. Inc. otherLPL Financial LLC independent RIAOtherFeb 23, 2018Feb 22, 2018
Janet L PetersonOppenheimer & Co. Inc. otherCharles Schwab & Co., Inc. national BDOtherFeb 2, 2018Jul 17, 2018 (165 d)
Tommaso De NardoOppenheimer & Co. Inc. otherBancwest Investment Services, Inc. (Bwis) BD affiliatedOtherFeb 2, 2018Feb 1, 2018
Andres Mejia AlfaroOppenheimer & Co. Inc. otherB Riley Wealth Management otherOtherFeb 2, 2018Feb 20, 2018
Martin William PadillaOppenheimer & Co. Inc. otherB Riley Wealth Management otherOtherJan 26, 2018Jan 26, 2018
Brian Paul CutticOppenheimer & Co. Inc. otherJanney Montgomery Scott LLC otherOtherJan 12, 2018Mar 12, 2018 (59 d)
Mariah Faith DoyleOppenheimer & Co. Inc. otherRaymond James Financial Services Advisors, Inc BD affiliatedOtherJan 12, 2018Jan 5, 2018
Michael Joseph ZadloOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherJan 5, 2018Feb 1, 2018
Joseph Michael DorrycottOppenheimer & Co. Inc. otherLPL Financial LLC independent RIAOtherDec 22, 2017Dec 15, 2017
Michael John WitousOppenheimer & Co. Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherDec 15, 2017Apr 11, 2018 (117 d)
Javier Jaime CardenasOppenheimer & Co. Inc. otherHilltop Securities Inc. otherOtherDec 1, 2017Nov 29, 2017
Mark Leonard SilvesterOppenheimer & Co. Inc. otherCitizens Securities, Inc. BD affiliatedOtherNov 22, 2017Dec 1, 2017
Andrew M MbayaOppenheimer & Co. Inc. otherUBS Financial Services Inc. wirehouseOtherNov 3, 2017Aug 29, 2018 (299 d)
Javier Martin-RivaOppenheimer & Co. Inc. otherBulltick Wealth Management, LLC independent RIAOtherNov 3, 2017May 6, 2019 (549 d)
Celia Tanya MeagherOppenheimer & Co. Inc. otherMorton Wealth otherOtherOct 27, 2017Nov 3, 2017
Reginald Alan HammondsOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherOct 20, 2017Oct 13, 2017
Dennis Michael TracyOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherOct 20, 2017Oct 13, 2017
James Sidney HerzikoffOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherOct 13, 2017Oct 11, 2017
Zak W ShapiroOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherOct 13, 2017Oct 12, 2017
Robert B RobinsonOppenheimer & Co. Inc. otherSvb Wealth otherOtherOct 13, 2017Oct 26, 2017
Marielle SternOppenheimer & Co. Inc. otherRaymond James & Associates, Inc. national BDOtherOct 6, 2017Nov 21, 2017 (46 d)
Robert Ryan SkoffOppenheimer & Co. Inc. otherThe Pinnacle Financial Group independent RIAOtherSep 22, 2017Aug 20, 2021 (1428 d)
Mark Christopher HughesOppenheimer & Co. Inc. otherOsaic Fa, Inc. otherOtherSep 22, 2017Sep 12, 2017
Jonathan Verden BeverOppenheimer & Co. Inc. otherFulcrum Wealth Advisors, LLC independent RIAOtherSep 22, 2017Oct 4, 2017
James Lawrence CadyOppenheimer & Co. Inc. otherCantella & Co., Inc. otherOtherSep 22, 2017Sep 25, 2017
Brian D BroganOppenheimer & Co. Inc. otherExemplar Wealth Advisors, LLC state registeredOtherSep 21, 2017Dec 1, 2023 (2262 d)
Brad Joseph LandryOppenheimer & Co. Inc. otherNorthwest Asset Management otherOtherSep 15, 2017Sep 18, 2017
Stephanie Lynn FarellaOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherSep 15, 2017Oct 10, 2017
Lelis Marina PondOppenheimer & Co. Inc. otherSignator Investors, Inc. otherOtherSep 8, 2017Sep 1, 2017
Anibal DrelichmanOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherSep 8, 2017Sep 8, 2017
Robert AbramowitzOppenheimer & Co. Inc. otherB. Riley Wealth Advisors, Inc. otherOtherSep 8, 2017Sep 8, 2017
Evan Andrew ChiarenzelliOppenheimer & Co. Inc. otherCraft Wealth Services independent RIAOtherSep 8, 2017Apr 25, 2019 (594 d)
John Francis CombsOppenheimer & Co. Inc. otherRaymond James Financial Services Advisors, Inc otherOtherSep 1, 2017Oct 11, 2017 (40 d)
Henry Scott KruseOppenheimer & Co. Inc. otherOppenheimer Asset Management otherOtherAug 21, 2017Apr 15, 2003
Robert Edward SchmidtOppenheimer & Co. Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherAug 21, 2017Aug 18, 2017
Zoya LechtholzOppenheimer & Co. Inc. otherJ.P. Morgan Private Wealth Advisors LLC otherOtherAug 21, 2017Aug 21, 2017
Andrew Michael DerenziOppenheimer & Co. Inc. otherJ.P. Morgan Securities LLC wirehouseOtherAug 18, 2017Aug 29, 2017
John Christian CoyleOppenheimer & Co. Inc. otherHilltop Securities Inc. otherOtherAug 15, 2017Aug 11, 2017
Thomas Aloysius GallagherOppenheimer & Co. Inc. otherJanney Montgomery Scott LLC BD affiliatedOtherAug 15, 2017Jan 23, 2019 (526 d)
Ryan Adam LansfordOppenheimer & Co. Inc. otherAllstate Financial Advisors, LLC no RAUMOtherAug 10, 2017Oct 19, 2017 (70 d)
Kevin Thomas AdamsOppenheimer & Co. Inc. otherJanney Montgomery Scott LLC otherOtherJul 28, 2017Jul 25, 2017
John AnagnosOppenheimer & Co. Inc. otherAetolia Capital LLC state registeredOtherJul 17, 2017Jul 14, 2017
Edward Francis PatrickOppenheimer & Co. Inc. otherB. Riley Wealth Advisors, Inc. otherOtherJun 23, 2017Jul 28, 2017 (35 d)
Daniel Patrick HeenanOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherJun 23, 2017Jun 22, 2017
Christopher Thomas BarbeeOppenheimer & Co. Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherJun 16, 2017Jun 15, 2017
Jennifer Lee CockmanOppenheimer & Co. Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherJun 16, 2017Jun 15, 2017
Monique Renay CastilloOppenheimer & Co. Inc. otherConcourse Financial Group Advisors otherOtherJun 16, 2017Jun 16, 2017
James M SheaOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherJun 2, 2017Jun 1, 2017
Brian Daniel FrancisOppenheimer & Co. Inc. otherCetera Advisors LLC otherOtherJun 2, 2017Jun 5, 2017
Elliott Mitchell HollubOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherMay 26, 2017Jun 8, 2017
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1,085 moves match.