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
Scott Edward HeidemaEdward Jones national BDOppenheimer & Co. Inc. otherOtherOct 2, 2013Oct 16, 2013
James Raoul GuraWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherSep 9, 2013Sep 9, 2013
Peter Henry WagnerUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherSep 5, 2013Aug 22, 2013
Drew Michael KeenanAmeriprise Financial Services, LLC national BDOppenheimer & Co. Inc. otherOtherSep 4, 2013Sep 3, 2013
Geoffrey M DemarcoEquitable Advisors, LLC national BDOppenheimer & Co. Inc. otherOtherSep 4, 2013Sep 5, 2013
John R FrenzelRBC Capital Markets, LLC national BDOppenheimer & Co. Inc. otherOtherAug 23, 2013Aug 20, 2013
Evan Andrew ChiarenzelliVoya Financial Advisors, Inc. otherOppenheimer & Co. Inc. otherOtherAug 23, 2013Sep 17, 2013
Christopher Michael LittyMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherAug 16, 2013Aug 15, 2013
David Alexander HertlInvest Financial Corporation otherOppenheimer & Co. Inc. otherOtherAug 12, 2013Aug 13, 2013
Phillip Joseph SusiInvest Financial Corporation otherOppenheimer & Co. Inc. otherOtherAug 12, 2013Aug 12, 2013
John AnagnosMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherAug 7, 2013Jul 19, 2013
James Joseph DotzmanPiper Jaffray Investment Management, LLC otherOppenheimer & Co. Inc. otherOtherAug 1, 2013Aug 27, 2013
Anthony D'AscoliUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherJul 29, 2013Sep 11, 2013 (44 d)
Charles Peter WallaceMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherJul 23, 2013Oct 4, 2013 (73 d)
Alexandre Martins SantosMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherJul 23, 2013Nov 10, 2014 (475 d)
Steven Brent HolbrookWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherJul 22, 2013Jul 19, 2013
Anita Marie DaguilarUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherJul 16, 2013Jul 15, 2013
Kin MaMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherJul 10, 2013Mar 12, 2015 (610 d)
Elizabeth Cicolello MessinaBiondo Investment Advisors LLC otherOppenheimer & Co. Inc. otherOtherJul 2, 2013May 28, 2013
Stella Ma DesantisMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherJul 1, 2013Jun 18, 2013
Brandy Michelle PhippsMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherJun 27, 2013Dec 4, 2014 (525 d)
Sayke Robert ReilleyModern Capital Advisors, LLC otherOppenheimer & Co. Inc. otherOtherJun 24, 2013Oct 20, 2015 (848 d)
Kamal MalhisEdward Jones national BDOppenheimer & Co. Inc. otherOtherJun 18, 2013Jul 8, 2013
Zak W ShapiroWestern International Securities otherOppenheimer & Co. Inc. otherOtherJun 14, 2013Jun 5, 2013
Eric Brian RosenbergRBC Capital Markets, LLC national BDOppenheimer & Co. Inc. otherOtherJun 7, 2013Jun 18, 2013
Susan PajerWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherJun 6, 2013Jun 4, 2013
William C YuenMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherMay 9, 2013May 21, 2013
Donald Mcpherrin WellerMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherMay 8, 2013Apr 29, 2013
Lawrence WeilArete Wealth Advisors, LLC otherOppenheimer & Co. Inc. otherOtherMay 2, 2013May 14, 2013
David Barrett BermanMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherApr 29, 2013May 30, 2013 (31 d)
Brian William RipleyHuntington Financial Advisors otherOppenheimer & Co. Inc. otherOtherApr 29, 2013Jan 20, 2015 (631 d)
Joann Canice RodkeyPnc Wealth Management otherOppenheimer & Co. Inc. otherOtherApr 18, 2013Apr 24, 2013
Raymond Lewis DinkelPnc Wealth Management otherOppenheimer & Co. Inc. otherOtherMar 25, 2013Apr 9, 2013
James Norman RileySeelaus Asset Management, LLC otherOppenheimer & Co. Inc. otherOtherMar 12, 2013Mar 5, 2013
Petar Alexiev ArizanovStrategic Advisers LLC national BDOppenheimer & Co. Inc. otherOtherMar 5, 2013Sep 23, 2013 (202 d)
Bryan David FrancoNorthpointe Capital LLC otherOppenheimer & Co. Inc. otherOtherMar 4, 2013Apr 13, 2011
Steven R BaadenMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherFeb 13, 2013Feb 13, 2013
Gerald Myron BermanJanney Montgomery Scott LLC otherOppenheimer & Co. Inc. otherOtherFeb 11, 2013Feb 11, 2013
H. Peter PetroskyMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherFeb 7, 2013Feb 5, 2013
Matthew Steven GaerAmeriprise Financial Services, LLC national BDOppenheimer & Co. Inc. otherOtherFeb 1, 2013Feb 1, 2013
Anthony A PellMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherJan 28, 2013Jan 8, 2013
Christian F GalloEquitable Advisors, LLC national BDOppenheimer & Co. Inc. otherOtherJan 18, 2013Dec 4, 2013 (320 d)
Tina SohnMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherJan 15, 2013Dec 15, 2016 (1430 d)
Clara I MontanezMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherJan 11, 2013Feb 11, 2013 (31 d)
David LeeCetera Advisor Networks LLC otherOppenheimer & Co. Inc. otherOtherDec 31, 2012Jan 10, 2013
Anthony Joseph ManougianMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherDec 12, 2012Feb 8, 2013 (58 d)
Johnny Earl BurrisJ.P. Morgan Securities LLC wirehouseOppenheimer & Co. Inc. otherOtherDec 12, 2012Mar 14, 2013 (92 d)
Curtis J PattersonUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherDec 11, 2012Jun 20, 2016 (1287 d)
Joshua Andrew YocamMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherDec 11, 2012Dec 4, 2012
Mary Lynn Van MoppesMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherDec 10, 2012Dec 7, 2012
Tara Ashley MacedoMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherNov 16, 2012Jan 13, 2014 (423 d)
Sharon Ann YoungWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherNov 14, 2012Jan 15, 2013 (62 d)
Lawrence R WilkesUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherNov 12, 2012Nov 5, 2012
George W FellowsMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherNov 7, 2012Jan 2, 2013 (56 d)
Frances G KerhulasMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherNov 6, 2012Aug 16, 2013 (283 d)
Owen Bruce RosenblumWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherNov 2, 2012Nov 5, 2012
Karen M. Van HornMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherOct 26, 2012Oct 11, 2012
Luigi Edward MancusiWintrust Investments otherOppenheimer & Co. Inc. otherOtherOct 12, 2012Nov 9, 2012
Jason Scott ParkerMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherOct 12, 2012Nov 6, 2012
Lauren Greene HolwellWintrust Investments otherOppenheimer & Co. Inc. otherOtherOct 12, 2012Sep 17, 2012
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1,230 moves match.