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.

Advisor	From	To	Type	Left	Registered
John Clancy Roche	Thornburg Investment Management Inc other	Oppenheimer & Co. Inc. other	Other	Oct 10, 2012	Nov 7, 2012
Stephen Robert Walsh	Td Ameritrade Investment Management, LLC other	Oppenheimer & Co. Inc. other	Other	Oct 3, 2012	Nov 1, 2012
James Edward Fahey	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Sep 26, 2012	Oct 15, 2012
Malcolm Greene Chace	Baldwin Wealth Partners, LLC other	Oppenheimer & Co. Inc. other	Other	Sep 25, 2012	Sep 16, 2009
William David Morrison	Stifel, Nicolaus & Company, Incorporated national BD	Oppenheimer & Co. Inc. other	Other	Sep 12, 2012	Sep 7, 2012
Jonathan Verden Bever	UBS Financial Services Inc. wirehouse	Oppenheimer & Co. Inc. other	Other	Sep 4, 2012	Aug 24, 2012
Richard Cole	Pnc Wealth Management other	Oppenheimer & Co. Inc. other	Other	Jul 24, 2012	Jul 20, 2012
Christopher Mark Oconnor	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Jul 17, 2012	Jul 13, 2012
Linda Brucia	Next Financial Group, Inc. other	Oppenheimer & Co. Inc. other	Other	Jul 16, 2012	Jul 23, 2012
Kenneth Micheal Bieri	Hantz Financial Services, Inc. no RAUM	Oppenheimer & Co. Inc. other	Other	Jul 12, 2012	Jul 16, 2012
Tom G Thacker	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Jun 28, 2012	Jun 26, 2012
Sean Meier	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Jun 14, 2012	Jun 13, 2012
Gary J Walker	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	May 29, 2012	May 8, 2012
David Michael Laufer	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	May 25, 2012	May 29, 2012
Mark Roy Pond	RBC Capital Markets, LLC national BD	Oppenheimer & Co. Inc. other	Other	May 23, 2012	May 23, 2012
Lelis Marina Pond	RBC Capital Markets, LLC national BD	Oppenheimer & Co. Inc. other	Other	May 23, 2012	May 23, 2012
Stephen Alan Colavito	Barclays Capital Inc. other	Oppenheimer & Co. Inc. other	Other	May 9, 2012	May 24, 2012
William Macknight Pomeroy	Wells Fargo Advisors wirehouse	Oppenheimer & Co. Inc. other	Other	May 7, 2012	May 8, 2012
Christina Leigh Simpson	Wells Fargo Advisors wirehouse	Oppenheimer & Co. Inc. other	Other	May 7, 2012	May 4, 2012
Yevgeny Tunitsky	Morgan Keegan & Company, LLC other	Oppenheimer & Co. Inc. other	Other	May 7, 2012	May 7, 2012
William J Kavanagh	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Apr 30, 2012	Apr 30, 2012
James Edward Pinzker	UBS Financial Services Inc. wirehouse	Oppenheimer & Co. Inc. other	Other	Apr 27, 2012	Apr 19, 2012
Mitchell Hal Reback	Gms Group other	Oppenheimer & Co. Inc. other	Other	Apr 23, 2012	Apr 24, 2012
Walter Alan Cooper	UBS Financial Services Inc. wirehouse	Oppenheimer & Co. Inc. other	Other	Apr 4, 2012	Mar 28, 2012
Herbert Henry Scheffler	Morgan Keegan & Company, LLC other	Oppenheimer & Co. Inc. other	Other	Apr 4, 2012	Apr 2, 2012
Susan Regina Mitchell	RBC Capital Markets, LLC national BD	Oppenheimer & Co. Inc. other	Other	Mar 26, 2012	Apr 27, 2012 (32 d)
David Michael France	Wells Fargo Advisors wirehouse	Oppenheimer & Co. Inc. other	Other	Mar 12, 2012	Mar 9, 2012
Michael James Chibidakis	Chase Investment Services Corp. other	Oppenheimer & Co. Inc. other	Other	Feb 16, 2012	Feb 16, 2012
Jesse Lynn Webb	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Feb 9, 2012	Feb 1, 2012
Andrew Seth Martin	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Feb 9, 2012	Sep 23, 2013 (592 d)
Monique Renay Castillo	Questar Asset Management, Inc. other	Oppenheimer & Co. Inc. other	Other	Feb 9, 2012	Feb 1, 2012
Kathleen Lansing	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Feb 8, 2012	Feb 13, 2012
James Donald Routhier	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Feb 2, 2012	Feb 21, 2012
Fitzgerald Miller	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Jan 30, 2012	Jan 19, 2012
Damon Mark Schimming	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Jan 18, 2012	Jan 19, 2012
John Stephen Grubbs	Charles Schwab & Co., Inc. national BD	Oppenheimer & Co. Inc. other	Other	Jan 17, 2012	Jan 9, 2012
Ramon E Valet	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Jan 17, 2012	Jan 18, 2012
John Gerard Carson	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Jan 3, 2012	Mar 1, 2012 (58 d)
William Thomas Kaeli	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Jan 3, 2012	Feb 21, 2012 (49 d)
Ryan Patrick Gray	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Jan 3, 2012	Feb 21, 2012 (49 d)
Patrick George Colligan	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Dec 31, 2011	Oct 6, 2015 (1375 d)
James Daniel Mcdermott	Wells Fargo Advisors wirehouse	Oppenheimer & Co. Inc. other	Other	Dec 21, 2011	Dec 21, 2011
Michael Dennis Reagan	Raymond James & Associates, Inc. national BD	Oppenheimer & Co. Inc. other	Other	Dec 20, 2011	Dec 21, 2011
Carol Jeanette Pipitone	Avantax Advisory Services other	Oppenheimer & Co. Inc. other	Other	Dec 20, 2011	Dec 8, 2011
Laurence J Casper	Edward Jones national BD	Oppenheimer & Co. Inc. other	Other	Dec 8, 2011	Dec 21, 2011
William Henry Hamel	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Dec 2, 2011	Nov 10, 2011
Brooke Lea Bergrud	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Nov 29, 2011	Nov 17, 2011
James Turner Norris	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Nov 9, 2011	Nov 4, 2011
Philip Francis Arnheiter	Wells Fargo Advisors wirehouse	Oppenheimer & Co. Inc. other	Other	Nov 3, 2011	Nov 9, 2011
Michael Steven Mcavoy	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Oct 26, 2011	Nov 8, 2011
Thomas Joseph Manetta	Charles Schwab & Co., Inc. national BD	Oppenheimer & Co. Inc. other	Other	Oct 26, 2011	Dec 2, 2011 (37 d)
Gregory John Augustine	Pruco Securities, LLC other	Oppenheimer & Co. Inc. other	Other	Oct 11, 2011	Oct 12, 2011
Robert Wayne Youman	UBS Financial Services Inc. wirehouse	Oppenheimer & Co. Inc. other	Other	Oct 10, 2011	Sep 30, 2011
Douglas Michael Purcell	UBS Financial Services Inc. wirehouse	Oppenheimer & Co. Inc. other	Other	Oct 10, 2011	Sep 30, 2011
Veronica Puello Visbal	Guzman & Company unclassified	Oppenheimer & Co. Inc. other	Other	Sep 30, 2011	Sep 5, 2012 (341 d)
Michael David Charles	Hilltop Securities Inc. other	Oppenheimer & Co. Inc. other	Other	Sep 19, 2011	Sep 6, 2011
George Emmett Mccall	RBC Rochdale, LLC other	Oppenheimer & Co. Inc. other	Other	Sep 15, 2011	Aug 25, 2014 (1075 d)
John Blair Nicholas	Barclays Capital Inc. other	Oppenheimer & Co. Inc. other	Other	Sep 14, 2011	Dec 7, 2011 (84 d)
Glenn Carl Krause	Charles Schwab & Co., Inc. national BD	Oppenheimer & Co. Inc. other	Other	Sep 13, 2011	Sep 23, 2011
Lewis Marlin Rowe	LPL Financial LLC other	Oppenheimer & Co. Inc. other	Other	Sep 12, 2011	Sep 13, 2011

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1,230 moves match.