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
Marisa F PollardOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherMay 26, 2017May 25, 2017
Kristina B SvejdaOppenheimer & Co. Inc. otherRBC Capital Markets, LLC national BDOtherMay 26, 2017May 25, 2017
Chloe Anne LeitzkeOppenheimer & Co. Inc. otherNeuberger Berman Bd LLC no RAUMOtherMay 22, 2017Apr 16, 2018 (329 d)
Kevin Robert OneillOppenheimer & Co. Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMay 17, 2017May 18, 2017
Mark Roy PondOppenheimer & Co. Inc. otherSignator Investors, Inc. otherOtherMay 12, 2017May 5, 2017
Richard GrobmanOppenheimer & Co. Inc. otherRaymond James & Associates, Inc. national BDOtherMay 5, 2017May 2, 2017
Audrey Barbara DaumOppenheimer & Co. Inc. otherMoors & Cabot, Inc otherOtherMay 5, 2017Apr 28, 2017
Dawn Michele DeangeloOppenheimer & Co. Inc. otherRaymond James & Associates, Inc. national BDOtherMay 5, 2017Apr 28, 2017
Michael Scott IsraelOppenheimer & Co. Inc. otherRevolve Wealth Partners, LLC no RAUMOtherMay 5, 2017May 23, 2017
Daniel Lawrence KatzOppenheimer & Co. Inc. otherRevolve Wealth Partners, LLC no RAUMOtherMay 5, 2017Apr 28, 2017
Logan Matthew TrenzOppenheimer & Co. Inc. otherRevolve Wealth Partners, LLC no RAUMOtherMay 5, 2017May 23, 2017
Richard Eloy De La GarzaOppenheimer & Co. Inc. otherLPL Financial LLC otherOtherApr 26, 2017May 5, 2017
Blair Marie Larson EdmanOppenheimer & Co. Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherApr 25, 2017May 16, 2017
Richard Frank MontaldoOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherApr 24, 2017Apr 21, 2017
William Edwin Nicholas WolfeOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherApr 21, 2017Jun 29, 2020 (1165 d)
Joann Canice RodkeyOppenheimer & Co. Inc. otherOsaic Fa, Inc. otherOtherApr 11, 2017May 26, 2017 (45 d)
Lorenzo Pietro GaudiosoOppenheimer & Co. Inc. otherOsaic Institutions, Inc. otherOtherApr 10, 2017Jun 26, 2017 (77 d)
Ryan Tray SvendsonOppenheimer & Co. Inc. otherChaney Capital Management Inc. otherOtherApr 10, 2017Apr 13, 2017
Taylor Lovell ShockeyOppenheimer & Co. Inc. otherStrategic International no RAUMOtherApr 10, 2017May 15, 2017 (35 d)
Dustin Mark VancottOppenheimer & Co. Inc. otherAegis Capital Corp. otherOtherApr 6, 2017Apr 7, 2017
Alvin Lartigue CastroOppenheimer & Co. Inc. otherHayden Royal otherOtherApr 4, 2017Apr 4, 2017
Catalina SanchezOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherApr 4, 2017Apr 12, 2017
Malcolm Douglas MaclennanOppenheimer & Co. Inc. otherFsc Securities Corporation otherOtherMar 27, 2017Mar 17, 2017
Andrew CoulterOppenheimer & Co. Inc. otherLPL Financial LLC otherOtherMar 15, 2017Mar 1, 2017
Ronald Gene WexlerOppenheimer & Co. Inc. otherThe Pinnacle Financial Group independent RIAOtherMar 15, 2017Aug 20, 2021 (1619 d)
James Michael AlarioOppenheimer & Co. Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMar 15, 2017Apr 4, 2017
Bradley Joseph KaminskiOppenheimer & Co. Inc. otherRaymond James & Associates, Inc. national BDOtherMar 1, 2017Feb 24, 2017
William E JordenOppenheimer & Co. Inc. otherSchwab Wealth Advisory, Inc. otherOtherMar 1, 2017Mar 7, 2017
Gregory M AdamczykOppenheimer & Co. Inc. otherAlpha Cubed Investments, LLC otherOtherMar 1, 2017Feb 16, 2017
Terry Lee BennettOppenheimer & Co. Inc. otherPruco Securities, LLC otherOtherFeb 27, 2017Jun 28, 2017 (121 d)
Michael MiserOppenheimer & Co. Inc. otherStratos Wealth Partners, Ltd otherOtherFeb 15, 2017Feb 3, 2017
Warren Harris StraussOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherFeb 15, 2017Feb 10, 2017
Dianne Marie LarsonOppenheimer & Co. Inc. otherB. Riley Wealth Advisors, Inc. otherOtherFeb 1, 2017Feb 21, 2017
Kevin Royce OarrOppenheimer & Co. Inc. otherKyur, Inc. no RAUMOtherJan 18, 2017Jan 18, 2017
George Emmett MccallOppenheimer & Co. Inc. otherBeacon Pointe Advisors, LLC independent RIAOtherDec 20, 2016Aug 20, 2019 (973 d)
Douglas Michael PurcellOppenheimer & Co. Inc. otherFort Sheridan Advisors LLC otherOtherDec 16, 2016Dec 13, 2016
Eric Scott PomerantzOppenheimer & Co. Inc. otherInvestment Professionals, Inc. otherOtherDec 16, 2016Dec 9, 2016
Jeffrey Louis MarchittoOppenheimer & Co. Inc. otherOsaic Fa, Inc. otherOtherDec 16, 2016Dec 7, 2016
Michael J KiriakatosOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherDec 16, 2016Jun 16, 2021 (1643 d)
Albert Glenn McnortonOppenheimer & Co. Inc. otherOsaic Fa, Inc. otherOtherDec 2, 2016Dec 6, 2016
Michael Earl ShaverOppenheimer & Co. Inc. otherPrincipal Securities, Inc. otherOtherDec 1, 2016Dec 9, 2016
Gregory Arthur GauthierOppenheimer & Co. Inc. otherMML Investors Services, LLC otherOtherNov 15, 2016Jan 12, 2018 (423 d)
James Edward FaheyOppenheimer & Co. Inc. otherWellington Shields & Co., LLC otherOtherNov 11, 2016Feb 7, 2017 (88 d)
John Martin FryOppenheimer & Co. Inc. otherCambridge Investment Research Advisors, Inc. otherOtherNov 11, 2016Nov 10, 2016
Matthew Steven GaerOppenheimer & Co. Inc. otherAegis Capital Corp. BD affiliatedOtherNov 9, 2016Jul 6, 2021 (1700 d)
Christopher Michael LittyOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherNov 3, 2016Oct 28, 2016
Steven M ReausoOppenheimer & Co. Inc. otherCitizens Securities, Inc. otherOtherNov 3, 2016Nov 1, 2016
Stephen McgahranOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherNov 1, 2016Feb 2, 2017 (93 d)
Geoffrey M DemarcoOppenheimer & Co. Inc. otherM&T Securities, Inc. unclassifiedOtherOct 27, 2016Oct 28, 2016
Blake BerteaOppenheimer & Co. Inc. otherOppenheimer Asset Management otherOtherOct 20, 2016Apr 15, 2003
Francis X RocheOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherOct 18, 2016Oct 12, 2016
Lesley Marshall VanborssumOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherOct 18, 2016Oct 17, 2016
Michael Stewart GlennOppenheimer & Co. Inc. otherMariner Independent independent RIAOtherOct 18, 2016Jan 6, 2025 (3002 d)
Kamal MalhisOppenheimer & Co. Inc. otherCitigroup Global Markets Inc. otherOtherOct 18, 2016Oct 26, 2016
Brian FranfordOppenheimer & Co. Inc. otherCapital Analysts BD affiliatedOtherOct 3, 2016Jul 17, 2018 (652 d)
Glenn R RudyOppenheimer & Co. Inc. otherWells Fargo Advisors wirehouseOtherSep 2, 2016Sep 1, 2016
Gregory Cole GibsonOppenheimer & Co. Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherSep 1, 2016Aug 19, 2016
Eric Gordon BreecherOppenheimer & Co. Inc. otherAmeriprise Financial Services, LLC national BDOtherSep 1, 2016Sep 8, 2016
Michael Anthony BrcicOppenheimer & Co. Inc. otherOppenheimer Asset Management otherOtherSep 1, 2016Apr 15, 2003
Mark Kevin BurkeOppenheimer & Co. Inc. otherMorgan Stanley wirehouseOtherAug 16, 2016Dec 12, 2016 (118 d)
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1,085 moves match.