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 |
|---|---|---|---|---|---|
| Andrew Michienzi | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 11, 2021 | May 7, 2021 |
| Daniel Bennie Berge | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 11, 2021 | May 6, 2021 |
| Jorge Alejandro Hollander | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 26, 2021 | Apr 23, 2021 |
| Andreina Franceschi-Neff | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 26, 2021 | Apr 22, 2021 |
| David Anthony Cox | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 22, 2021 | May 12, 2021 |
| Aaron Joseph Deterding | Larson Financial Group, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2021 | Apr 5, 2021 |
| Aaron Dale Chamberlin | Stifel, Nicolaus & Company, Incorporated national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2021 | Apr 1, 2021 |
| Eric F Cheng | J.P. Morgan Securities LLC wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 30, 2021 | Apr 1, 2021 |
| Stacey Lynn Marino | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 24, 2021 | Mar 2, 2021 |
| Horacio Gomez-Rabago | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 15, 2021 | Mar 18, 2021 |
| Mitchel Stuart Penn | Janney Montgomery Scott LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2021 | Mar 3, 2021 |
| Daniel Hernan Vatterott | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 1, 2021 | Feb 21, 2021 |
| Trent Alton Birdsong | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 9, 2021 | Mar 5, 2021 |
| Jena Daake | Td Ameritrade Investment Management, LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 2, 2021 | Feb 5, 2021 |
| Ronald Thomas Ochal | Ameriprise Financial Services, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 21, 2021 | Jan 19, 2021 |
| Alberto Castaner | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 20, 2021 | Feb 11, 2021 |
| Stephen J Heil | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 19, 2021 | Jan 20, 2021 |
| Denanne Michelle Heil | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 19, 2021 | Jan 15, 2021 |
| Kelsey Elizabeth Costantini | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 19, 2021 | Jan 15, 2021 |
| Richard Andrew Dougherty | Td Ameritrade Investment Management, LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2020 | Jun 2, 2021 (153 d) |
| Hiren Patel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 21, 2020 | Jan 4, 2021 |
| Shannon Madeline Moses | Detalus Advisors, LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 16, 2020 | Dec 17, 2020 |
| Robert Patrick Mccabe | Dominari Securities LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 30, 2020 | Jan 19, 2021 (50 d) |
| Carol Ann Liversedge | Siebert Advisornxt, LLC. independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 18, 2020 | May 26, 2022 (554 d) |
| Ahmad Khalil | Wedbush Securities Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 18, 2020 | May 17, 2022 (545 d) |
| Erin Lyn Alves | Advice And Planning Services BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Mar 1, 2021 (108 d) |
| David Darin Dellinger | Advanced Income Solutions, LLC unclassified | Oppenheimer & Co. Inc. BD affiliated | Other | Oct 30, 2020 | Oct 30, 2020 |
| Sandra Costa Lopes | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 29, 2020 | Nov 25, 2020 |
| Ryan Peter Maksimovich | Td Ameritrade, Inc. no RAUM | Oppenheimer & Co. Inc. BD affiliated | Other | Oct 5, 2020 | Oct 6, 2020 |
| Teresa Patrick | J.P. Morgan Securities LLC wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 5, 2020 | Sep 18, 2020 |
| James Arthur Allen | Sanctuary Advisors, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2020 | Dec 3, 2020 (64 d) |
| Paul Nathan Fern | J.P. Morgan Securities LLC wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 24, 2020 | Feb 8, 2021 (137 d) |
| Andrew Allen Koontz | Edward Jones national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2020 | Jan 10, 2025 (1589 d) |
| Samuel B Drake | RBC Capital Markets, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2020 | Oct 6, 2020 (35 d) |
| David Andrew Mcgaughey | Ameriprise Financial Services, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 10, 2020 | Aug 25, 2020 |
| Nicholas David Olivas | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 10, 2020 | Aug 7, 2020 |
| Cynthia Dawn Newman | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 23, 2020 | Jul 23, 2020 |
| Kyle Cline | U.S. Bancorp Investments, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2020 | Jun 30, 2020 |
| Thomas Mairs Shearer | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 10, 2020 | Feb 23, 2023 (988 d) |
| Gary Steven Domoracki | Stifel, Nicolaus & Company, Incorporated national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2020 | May 13, 2020 |
| Matthew Aaron Lusardi | Robert W. Baird & Co. Incorporated mixed wealth | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 24, 2020 | Feb 10, 2023 (1022 d) |
| Matthew Walter Mcguirk | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 3, 2020 | Jun 10, 2021 (433 d) |
| Morgan Constance Newman | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 1, 2020 | Jul 31, 2020 (121 d) |
| Christopher Joseph Estevez | RBC Capital Markets, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 19, 2020 | Apr 8, 2020 |
| John Joseph Marshall | Stifel, Nicolaus & Company, Incorporated national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2020 | Mar 2, 2020 |
| Brent Charles Ion | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 19, 2020 | Feb 19, 2020 |
| John Daniel Traut | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 19, 2020 | Feb 20, 2020 |
| David Stuart Roth | RBC Capital Markets, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2020 | Jan 30, 2020 |
| Robert Louis Takacs | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 15, 2020 | Feb 12, 2020 |
| Michael John Paganucci | Ameriprise Financial Services, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2020 | Jan 10, 2020 |
| Michel Ross Girardi | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 13, 2020 | Jan 14, 2020 |
| Edward Patrick Harrington | Oppenheimer Asset Management independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 8, 2020 | Nov 23, 2019 |
| John Pocceschi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 21, 2019 | Dec 16, 2019 |
| Taylor Masson | Charles Schwab & Co., Inc. national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 18, 2019 | Nov 17, 2020 (335 d) |
| Michael Erik Mc Murray | Janney Montgomery Scott LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2019 | Apr 7, 2021 (477 d) |
| Ryan Denault | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 20, 2019 | Jan 15, 2020 (56 d) |
| Jonathan D'Alton Thibodeaux | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 19, 2019 | Nov 20, 2019 |
| Carl Richard Todd | J.P. Morgan Securities LLC wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 12, 2019 | Nov 12, 2019 |
| Richard Ribek | Raymond James Financial Services Advisors, Inc BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2019 | Nov 7, 2019 |
| William George Godfrey | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 29, 2019 | Oct 28, 2019 |
1,230 moves match.