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
Kevin Lyle DanielMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankSep 5, 2018Sep 26, 2018
Micheal CorcioneMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankSep 5, 2018Sep 5, 2018
Shannon Lee BeckMorgan Stanley wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankAug 27, 2018Oct 16, 2019 (415 d)
Juan Pablo RiosJ.P. Morgan Securities LLC wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankAug 24, 2018Aug 22, 2018
Liliane K. BwakiraMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankAug 17, 2018Jan 16, 2019 (152 d)
James E. WhiteWells Fargo Advisors wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankAug 13, 2018Aug 9, 2018
Eric A KellerWells Fargo Advisors wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankAug 9, 2018Aug 16, 2018
Robert Ryan ProssJ.P. Morgan Securities LLC wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankAug 3, 2018Aug 7, 2018
Melissa Ann BowyerAmeriprise Financial Services, LLC national BDOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 30, 2018Jan 9, 2019 (163 d)
Rosario Gregory VezziWells Fargo Advisors wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJul 17, 2018Oct 2, 2018 (77 d)
Michael William NapierMorgan Stanley wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJul 10, 2018Jul 16, 2018
Charles Lewis HillisWells Fargo Advisors wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJul 3, 2018Jun 27, 2018
Timothy William SackettHorace Mann Investors, Inc. no RAUMOppenheimer & Co. Inc. BD affiliatedOtherJun 30, 2018Jul 5, 2018
Jennifer SackettHorace Mann Investors, Inc. no RAUMOppenheimer & Co. Inc. BD affiliatedOtherJun 30, 2018Jul 3, 2018
Richard Eric MuddJ.P. Morgan Securities LLC wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJun 27, 2018Jun 20, 2018
Chase Toberman HeidenWedbush Securities Inc. otherOppenheimer & Co. Inc. BD affiliatedOtherJun 26, 2018Jun 7, 2018
Alexander S GarrettAmeriprise Financial Services, LLC national BDOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJun 22, 2018Dec 11, 2018 (172 d)
Sue Anna PiedraMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJun 20, 2018Mar 14, 2019 (267 d)
Cole SamuelsCharles Schwab & Co., Inc. national BDOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJun 18, 2018Jun 19, 2018
David Joseph MaciakJ.P. Morgan Securities LLC wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJun 12, 2018Jun 1, 2018
Cort BarrettMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJun 11, 2018Jun 11, 2018
Sean McaneneyVoya Financial Advisors, Inc. BD affiliatedOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJun 4, 2018May 30, 2018
Mark Roger BogertMorgan Stanley wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankMay 24, 2018Jun 28, 2018 (35 d)
Edward Lee WinokurAmeriprise Financial Services, LLC national BDOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 3, 2018Apr 30, 2018
John Esko DelamaterCapital One Advisors, LLC BD affiliatedOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMay 3, 2018Jun 13, 2018 (41 d)
William Russell RobinsJ.P. Morgan Securities LLC wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankMay 2, 2018Apr 23, 2018
Mark Leonard SilvesterCitizens Securities, Inc. BD affiliatedOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 30, 2018Jul 8, 2021 (1165 d)
Denise Marla SchachneRBC Capital Markets, LLC national BDOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 17, 2018Apr 18, 2018
Michael C. RaissisUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankApr 17, 2018May 17, 2018
Jorge B GarciaHsbc Securities (USA) Inc. BD affiliatedOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 13, 2018Apr 6, 2018
David Howard JarrellWells Fargo Advisors wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankApr 12, 2018Apr 30, 2019 (383 d)
Gabriel S BergerAlliancebernstein L.P. otherOppenheimer & Co. Inc. BD affiliatedOtherApr 11, 2018Apr 3, 2018
Shane Patrick KellyCommonwealth Financial Network national BDOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 10, 2018Apr 9, 2018
Robert Paul FantozziMorgan Stanley wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankApr 9, 2018Jun 6, 2018 (58 d)
Jan A GalvezCapital One Advisors, LLC BD affiliatedOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 6, 2018Apr 12, 2018
Arthur Everett ChandlerWedbush Securities Inc. otherOppenheimer & Co. Inc. BD affiliatedOtherApr 4, 2018Mar 29, 2018
Gary Marshall FriedmanRaymond James Financial Services Advisors, Inc BD affiliatedOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 3, 2018Apr 3, 2018
Carolyn Cole SmithScottrade Investment Management BD affiliatedOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 9, 2018Feb 13, 2019 (341 d)
Susan Iris SternRobert W. Colby Asset Management, Inc. state registeredOppenheimer & Co. Inc. otherOtherMar 8, 2018Feb 28, 2018
Brody Allen NorthcottScottrade Investment Management BD affiliatedOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 7, 2018Mar 28, 2018
Michael Joseph KellyWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherMar 5, 2018Mar 2, 2018
Jeffrey Scott FaunceBcm Wealth Management, LLC. state registeredOppenheimer & Co. Inc. otherOtherFeb 23, 2018Feb 28, 2018
John Patrick KeatingMoors & Cabot, Inc otherOppenheimer & Co. Inc. otherOtherFeb 23, 2018Feb 27, 2018
Mario John KusteraMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherFeb 8, 2018Feb 8, 2018
Jonathan Charles EklundRBC Capital Markets, LLC national BDOppenheimer & Co. Inc. otherOtherFeb 6, 2018Feb 13, 2018
William John VlahoulisWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherFeb 1, 2018Feb 2, 2018
Sandra K NewberryFirst Citizens Investor Services, Inc. otherOppenheimer & Co. Inc. otherOtherJan 19, 2018Feb 1, 2018
Robert C LinkMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherJan 16, 2018Jan 12, 2018
Eric SchulkinGerber Kawasaki Wealth & Investment Management otherOppenheimer & Co. Inc. otherOtherJan 11, 2018Jan 2, 2018
Kurt Laurence SeidmanWells Fargo Advisors wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankDec 31, 2017Aug 23, 2018 (235 d)
Edward Theodore KemmIndependent Portfolio Consultants, Inc. otherOppenheimer & Co. Inc. otherOtherDec 31, 2017Mar 21, 2018 (80 d)
Luigi MazzaRaymond James & Associates, Inc. national BDOppenheimer & Co. Inc. otherOtherDec 22, 2017Mar 14, 2018 (82 d)
Jane Smith OkulskiCambridge Investment Research Advisors, Inc. otherOppenheimer & Co. Inc. otherOtherDec 20, 2017Jan 1, 2018
Spencer Jones GarrettMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherDec 20, 2017Dec 20, 2017
John Gerard LinehanWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherDec 19, 2017Dec 15, 2017
Daniel Phillip FeichtnerSmith Moore & Co. otherOppenheimer & Co. Inc. otherOtherNov 30, 2017Dec 18, 2017
Michael Jay ShatskyMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherNov 29, 2017Nov 6, 2017
Richard Joseph SilviaWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherNov 28, 2017Nov 20, 2017
Jose R Jaunarena FerrariPopular Securities, LLC otherOppenheimer & Co. Inc. otherOtherNov 20, 2017Nov 21, 2017
Jonathan James MilesOsaic Institutions, Inc. otherOppenheimer & Co. Inc. otherOtherNov 10, 2017Nov 14, 2017
Page 7 of 21PreviousNext
1,230 moves match.