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

Arrivals at 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
Ryan Adam LansfordJ.P. Morgan Securities LLC wirehouseOppenheimer & Co. Inc. otherOtherMar 20, 2015Mar 12, 2015
Mark Benjamin WickardMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherMar 3, 2015Jan 6, 2017 (675 d)
Kevin Thomas LynchMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherMar 3, 2015Jan 6, 2017 (675 d)
Ethan Simeon FingererRBC Capital Markets, LLC national BDOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherFeb 19, 2015Apr 7, 2021 (2239 d)
Mark Christopher HughesUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherFeb 6, 2015Nov 10, 2014
Michael Earl ShaverMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherFeb 3, 2015Feb 3, 2015
Ralph DisommaMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherJan 28, 2015Jun 23, 2017 (877 d)
Joe T ChanUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherJan 28, 2015Jan 20, 2015
Albert Glenn McnortonWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherJan 14, 2015Jan 15, 2015
Zoya LechtholzWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherJan 12, 2015Jan 12, 2015
Jack Meyer ZahlWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherDec 31, 2014Sep 17, 2015 (260 d)
Michael J SquellatiUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherDec 23, 2014Jan 16, 2015
Ted Ross EmersonAmeriprise Financial Services, LLC national BDOppenheimer & Co. Inc. otherOtherDec 8, 2014Nov 28, 2014
Thomas Wilbur JewsburyTd Ameritrade, Inc. no RAUMOppenheimer & Co. Inc. otherOtherNov 24, 2014Jan 21, 2015 (58 d)
Laura Lynn ThomfordeUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherNov 20, 2014Nov 12, 2014
Rajiv Amar HargunaniRaymond James Financial Services Advisors, Inc otherOppenheimer & Co. Inc. otherOtherNov 14, 2014Nov 18, 2014
Eugene Gray SmithWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherNov 7, 2014Dec 15, 2014 (38 d)
John GinsburyMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherNov 4, 2014Oct 13, 2014
Gregory Arthur GauthierHammond Iles Wealth Advisors otherOppenheimer & Co. Inc. otherOtherOct 14, 2014Nov 3, 2014
Trevor Jon HowardUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherSep 9, 2014Aug 29, 2014
Stephen McgahranMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherSep 9, 2014Sep 11, 2014
James Joseph LukezicWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherSep 4, 2014Aug 19, 2014
Kevin Tyrone HenryPnc Wealth Management otherOppenheimer & Co. Inc. otherOtherAug 11, 2014Jun 27, 2016 (686 d)
Timothy Patrick GarrettsonMoors & Cabot, Inc otherOppenheimer & Co. Inc. otherOtherAug 6, 2014Aug 4, 2014
Bernard Regis TheisRBC Capital Markets, LLC national BDOppenheimer & Co. Inc. otherOtherJul 31, 2014Jul 29, 2014
Brian Gerald OrrRBC Capital Markets, LLC national BDOppenheimer & Co. Inc. otherOtherJul 31, 2014Jun 7, 2016 (677 d)
Leonard Joseph SilvesterRBC Capital Markets, LLC national BDOppenheimer & Co. Inc. otherOtherJul 24, 2014Jul 23, 2014
Elaine IsraelDeutsche Bank Securities Inc. otherOppenheimer & Co. Inc. otherOtherJul 17, 2014Aug 7, 2014
Thomas Norwood AndersonUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherJul 10, 2014Jul 2, 2014
James Davidson HenryEdward Jones national BDOppenheimer & Co. Inc. otherOtherJul 10, 2014Jul 22, 2014
Joseph FusaroMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherJul 2, 2014Jul 3, 2014
Gavin Thomas NatelliMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherJul 1, 2014Sep 26, 2014 (87 d)
John GovicUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJun 23, 2014Jan 2, 2020 (2019 d)
John Mitchell BreenWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherJun 12, 2014Jun 12, 2014
Juan Francisco ManteigaAmeriprise Financial Services, LLC national BDOppenheimer & Co. Inc. otherOtherJun 12, 2014Jun 2, 2014
John Patrick LedererMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherJun 2, 2014May 21, 2014
Christopher Thomas BarbeeWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherJun 2, 2014May 30, 2014
Jennifer Lee CockmanWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherJun 2, 2014May 30, 2014
Michael B WolffHsbc Securities (USA) Inc. otherOppenheimer & Co. Inc. otherOtherJun 2, 2014Jun 2, 2014
Robert Edward FairbrothersJanney Montgomery Scott LLC otherOppenheimer & Co. Inc. otherOtherApr 28, 2014Apr 28, 2014
Maria Jose BarrientosMorgan Stanley wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankApr 24, 2014Mar 17, 2020 (2154 d)
Eric Scott StromingerMaxim Financial Advisors LLC otherOppenheimer & Co. Inc. otherOtherApr 1, 2014Mar 4, 2014
Lawrence Michael MargolinNfsg Corporation otherOppenheimer & Co. Inc. otherOtherMar 20, 2014May 1, 2014 (42 d)
Andrew Michael LernerMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherMar 20, 2014Mar 28, 2014
Paul J ColliganMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherMar 10, 2014Feb 18, 2014
Andrew Scott LostyNorthwestern Mutual Investment Services,LLC otherOppenheimer & Co. Inc. otherOtherMar 7, 2014Sep 4, 2014 (181 d)
Eric David GregersonUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherFeb 28, 2014Apr 24, 2014 (55 d)
Brian Christopher KutsmedaJ.P. Morgan Securities LLC wirehouseOppenheimer & Co. Inc. otherOtherFeb 12, 2014Feb 10, 2014
Kevin Michael DoneyMesirow Financial Investment Management, Inc. otherOppenheimer & Co. Inc. otherOtherFeb 4, 2014Feb 27, 2014
Michael Christopher DicksteinMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherJan 30, 2014Oct 10, 2014 (253 d)
James Richard AzeltineWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherJan 21, 2014Jan 17, 2014
Joel Eric BreiterUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJan 9, 2014Apr 7, 2021 (2645 d)
Matthew John KennedyManhattan Investment Management Services Inc unclassifiedOppenheimer & Co. Inc. otherOtherJan 3, 2014Aug 19, 2015 (593 d)
Derek Ryan RaymondEdward Jones national BDOppenheimer & Co. Inc. otherOtherDec 31, 2013Jan 2, 2014
Carmen Milagros MarreroBarclays Capital Inc. otherOppenheimer & Co. Inc. otherOtherDec 23, 2013Jan 16, 2014
Joshua Richard AllenInvest Financial Corporation otherOppenheimer & Co. Inc. otherOtherDec 5, 2013Dec 5, 2013
Edgardo MartinezMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherNov 4, 2013Nov 1, 2013
Alvin Lartigue CastroPopular Securities, LLC otherOppenheimer & Co. Inc. otherOtherNov 1, 2013Aug 27, 2015 (664 d)
Patrick James HudecStifel, Nicolaus & Company, Incorporated national BDOppenheimer & Co. Inc. otherOtherOct 31, 2013Oct 29, 2013
Alexi SaccoUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherOct 4, 2013Oct 1, 2013
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1,230 moves match.