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 |
|---|---|---|---|---|---|
| Kevin M Monaco | D.A. Davidson & Co. independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Oct 18, 2022 | Dec 2, 2022 (45 d) |
| Mayra Alejandra Alejandra Uribe-Quiceno | Deutsche Bank Securities Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 13, 2022 | Oct 14, 2022 |
| Nadia A Polack | Valic Financial Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2022 | Sep 14, 2022 |
| Hillary Arnesen Allen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 29, 2022 | Dec 16, 2022 (78 d) |
| Ashwin Vijay Pathare | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 14, 2022 | Sep 21, 2022 |
| Wayne Zhong | J.P. Morgan Securities LLC wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 10, 2022 | Sep 13, 2022 |
| Margaret Anne Hunter-Smith | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 24, 2022 | Oct 21, 2022 (58 d) |
| Robert John Murphy | RBC Capital Markets, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2022 | Aug 1, 2022 |
| Carey Mitchell Blecher | Nfsg Corporation BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2022 | Jul 12, 2022 |
| John S Luby | UBS Financial Services Inc. wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 14, 2022 | Jun 3, 2022 |
| Ariya Pejouhesh | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 2, 2022 | Jun 8, 2022 |
| Julia Lynn Behymer | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 20, 2022 | May 24, 2022 |
| Jon Andoni Urruzuno | UBS Financial Services Inc. wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 18, 2022 | May 10, 2022 |
| Sean Joseph Mcnamara | UBS Financial Services Inc. wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 16, 2022 | May 17, 2022 |
| David Whitman Fleming | Stifel, Nicolaus & Company, Incorporated national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 6, 2022 | May 4, 2022 |
| Paul S Clemente | Raymond James & Associates, Inc. national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2022 | Apr 13, 2022 |
| Francis Edoria | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 12, 2022 | Jul 8, 2022 (87 d) |
| Roberto Sanchez | Gci Investors independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 30, 2022 | Mar 16, 2022 |
| Maria Cristina Pejoro | Icapital Wealth LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 29, 2022 | Oct 10, 2023 (560 d) |
| James Francis Stevens | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 22, 2022 | Mar 18, 2022 |
| Alice Beth Leopold-Benintendi | Janney Montgomery Scott LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2022 | Mar 10, 2022 |
| Kevin Patrick Murphy | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 23, 2022 | Feb 18, 2022 |
| Linda Marie Richards | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 16, 2022 | Jul 6, 2022 (140 d) |
| Jacob Bauman | UBS Financial Services Inc. wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 11, 2022 | Feb 9, 2022 |
| Dimitri Angelo Spanos | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 3, 2022 | Feb 4, 2022 |
| Alexandra Fiona Babb | Private Advisor Group, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2022 | Jan 24, 2022 |
| Hugo Vincent Bartell | Adhesion Wealth Advisor Solutions asset manager | Oppenheimer & Co. Inc. BD affiliated | Other | Jan 3, 2022 | May 27, 2021 |
| Phillip Edward Hall | B Riley Wealth Management BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2021 | Jan 6, 2022 (31 d) |
| Jay-E S Emmingham | U.S. Bancorp Investments, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2021 | Nov 18, 2021 |
| Farhad Noory Shaya | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 4, 2021 | Oct 20, 2021 |
| Fred Berens | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 4, 2021 | Oct 20, 2021 |
| Brandon Phillips | Td Private Client Wealth LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2021 | Nov 10, 2021 |
| Ross Paul Bruner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 19, 2021 | Oct 20, 2021 |
| Michael Javed Malik | Columbia Management Investment Advisers, LLC asset manager | Oppenheimer & Co. Inc. BD affiliated | Other | Oct 7, 2021 | Oct 5, 2021 |
| Philip Orpheos Gullo | Equitable Advisors, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2021 | Nov 4, 2021 |
| Adam Richard Sands | Stifel, Nicolaus & Company, Incorporated national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 24, 2021 | Jul 11, 2023 (655 d) |
| Leopoldo Enrique Ferris Wallis | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 22, 2021 | Sep 7, 2021 |
| Alan Lee Feinberg | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 13, 2021 | Jan 3, 2022 (112 d) |
| Peter Navaretta | UBS Financial Services Inc. wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 7, 2021 | Oct 25, 2021 (48 d) |
| Peter J Navaretta | UBS Financial Services Inc. wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 7, 2021 | Sep 7, 2021 |
| Jack Cantalin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 7, 2021 | Sep 8, 2021 |
| Daniel Sullivan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 7, 2021 | Jul 14, 2022 (310 d) |
| Mariacelia Blandon | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 19, 2021 | Jul 20, 2021 |
| Victor Manuel Barrionuevo | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 16, 2021 | Jul 13, 2021 |
| Lisa Lindley Raboin | LPL Financial LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2021 | Jul 14, 2021 |
| William M Bertscha | Northwestern Mutual Investment Services,LLC no RAUM | Oppenheimer & Co. Inc. BD affiliated | Other | Jul 2, 2021 | Sep 15, 2021 (75 d) |
| Joaquin Eduardo Canto | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 29, 2021 | Jul 1, 2021 |
| Jacob Winstanley Schmitt | U.S. Bancorp Investments, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2021 | Dec 7, 2023 (895 d) |
| John Joseph Gavigan | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 16, 2021 | Jun 15, 2021 |
| Weber S Wang | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 3, 2021 | Jun 1, 2021 |
| Robert J Daries | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 1, 2021 | May 28, 2021 |
| Madonna Sylvia Johnson | Robert W. Baird & Co. Incorporated mixed wealth | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 28, 2021 | Jun 7, 2021 |
| Marisela Blandon | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 28, 2021 | Aug 10, 2021 (74 d) |
| Mikayla Barbara Michienzi | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 25, 2021 | May 13, 2021 |
| Patrick Anthony Pereira | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 21, 2021 | May 4, 2021 |
| James Laughlin Wiley | UBS Financial Services Inc. wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 20, 2021 | May 10, 2021 |
| Steven Da Ching Yang | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 20, 2021 | Jul 21, 2021 (62 d) |
| Spencer Berens | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 17, 2021 | May 13, 2021 |
| Eddy Weishu Hung | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 12, 2021 | May 7, 2021 |
| Constantinos E Livaditis | Td Ameritrade, Inc. no RAUM | Oppenheimer & Co. Inc. BD affiliated | Other | May 12, 2021 | May 18, 2021 |
1,230 moves match.