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 |
|---|---|---|---|---|---|
| Michael Lee Blumenfeld | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 25, 2019 | Oct 25, 2019 |
| Paul David Babaz | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 22, 2019 | Oct 10, 2019 |
| Amy Beth Decker | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 22, 2019 | Oct 24, 2019 |
| Melinda Darlene Sung | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 22, 2019 | Oct 9, 2019 |
| Barry Mitchell Cash | Fidelity Personal And Workplace Advisors BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 10, 2019 | Feb 25, 2020 (138 d) |
| Jack Edward Fay | RBC Capital Markets, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 9, 2019 | Jan 6, 2020 (89 d) |
| Edward Dorsey | Legend Advisory, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2019 | Mar 30, 2020 (178 d) |
| Hiram Antonio Cortes | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 23, 2019 | Sep 23, 2019 |
| Casey Mitchell | UBS Financial Services Inc. wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 19, 2019 | Oct 7, 2019 |
| Michael Dicambio | J.P. Morgan Securities LLC wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 11, 2019 | Sep 3, 2019 |
| Cooper Mcrae Davis | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 4, 2019 | Sep 26, 2019 |
| Mark Allen Frommer | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 30, 2019 | Sep 19, 2019 |
| Amy Filliater Georges | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 22, 2019 | Aug 22, 2019 |
| Miguel Angel Corvalan | Hsbc Securities (USA) Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2019 | Oct 28, 2019 (75 d) |
| Eric Robert Bartok | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 8, 2019 | Aug 21, 2019 |
| Christopher Ryan Bell | Blackrock Investment Management, LLC other | Oppenheimer & Co. Inc. BD affiliated | Other | Aug 8, 2019 | Jul 13, 2026 (2531 d) |
| Wendy Mcgowan Allen | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 31, 2019 | Aug 1, 2019 |
| Vikas Rishi | Saxony Capital Management, LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 30, 2019 | Sep 10, 2019 (42 d) |
| Thomas Emanuel Wolf | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 12, 2019 | Jun 13, 2019 |
| Daniel Nicolas | MML Investors Services, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2019 | Jul 5, 2019 |
| Jorge M Oliveira | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 18, 2019 | Jun 27, 2019 |
| Daniels Petera Dels Voyteshonock | Integrity Financial Corporation independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 14, 2019 | Jun 5, 2019 |
| Jose Ramon De Villasante | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 31, 2019 | May 29, 2019 |
| Jeffrey G Darien | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 6, 2019 | May 6, 2019 |
| John Marion Hopper | Cambridge Investment Research Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2019 | Sep 21, 2020 (528 d) |
| Daniel James Schreiner | Ameriprise Financial Services, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2019 | Jun 3, 2019 (52 d) |
| Hollis Lynn Herman | Ameriprise Financial Services, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2019 | Feb 13, 2019 |
| Stephen Gironta | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 7, 2019 | Feb 7, 2019 |
| Monica Lynn Leister | Muhlenkamp & Co Inc mixed wealth | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 4, 2019 | Aug 7, 2019 (184 d) |
| Timothy Nielsen | Commerce Brokerage Services, Inc independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 4, 2019 | Feb 11, 2019 |
| Herbert Spencer Thornton | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 1, 2019 | Jan 31, 2019 |
| David Wax | Roundangle Advisors LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 1, 2019 | Feb 13, 2019 |
| Bradley Edward Phillips | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 28, 2019 | Jan 28, 2019 |
| Daniel Ross Schmieder | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 24, 2019 | Jan 29, 2019 |
| Daniel Patrick Cavagnaro | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 22, 2019 | Jan 18, 2019 |
| Kevin Mclaughlin | Mcadam LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 18, 2019 | Jan 28, 2019 |
| Michael Kessel | Mg&A Wealth independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 16, 2019 | Jan 16, 2019 |
| Sherri Lynette Brown | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 9, 2019 | Aug 20, 2019 (223 d) |
| Javier Ignacio Altimari | Gfs Advisors LLC mixed wealth | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 9, 2019 | Dec 14, 2018 |
| Taylor Reed | Atlas Capital Advisors Inc. independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2018 | Apr 19, 2024 (1936 d) |
| Eugene Nacci | Cg Advisory Services independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 21, 2018 | Dec 17, 2018 |
| Roman Feagins Reed | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 10, 2018 | Dec 7, 2018 |
| John Howard Kay | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 6, 2018 | Nov 30, 2018 |
| Tunde Nagy | Cwm, LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 6, 2018 | Dec 12, 2018 |
| Leo Vinson Reichle | Momentum Independent Network Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2018 | Oct 25, 2018 |
| Roger Henry Felberbaum | RBC Capital Markets, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 16, 2018 | Nov 29, 2018 |
| Martin Lewis Waldman | Raymond James & Associates, Inc. national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 12, 2018 | Nov 5, 2018 |
| Jason Everett Helton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 6, 2018 | Oct 25, 2018 |
| Michael W Legaspi | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 30, 2018 | Oct 26, 2018 |
| Kathryn O Cocreham | Charles Schwab & Co., Inc. national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 29, 2018 | Jan 17, 2019 (80 d) |
| David Dziadziola | Sagepoint Financial, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2018 | Oct 15, 2018 |
| Nicholas Richard Galli Sterling | J.P. Morgan Securities LLC wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 12, 2018 | Oct 11, 2018 |
| Larry Alan Schwartzman | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 1, 2018 | Oct 9, 2018 |
| Christopher Lappas | Stifel, Nicolaus & Company, Incorporated national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2018 | Oct 2, 2018 |
| David Alan Dodson | Bb&T Securities, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2018 | Sep 28, 2018 |
| Anthony Charles Ruda | B Riley Wealth Management other | Oppenheimer & Co. Inc. BD affiliated | Other | Sep 18, 2018 | Sep 14, 2018 |
| John David Dubois | Hennion & Walsh Asset Management, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 14, 2018 | Sep 12, 2018 |
| Robert Alan Corona | Ameriprise Financial Services, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 12, 2018 | Sep 12, 2018 |
| Gregg Scott Winter | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 10, 2018 | Aug 31, 2018 |
| Randy Ray Bray | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 6, 2018 | Sep 5, 2018 |
1,230 moves match.