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
Jorge E RomeroMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherNov 6, 2017Nov 3, 2017
Alex LeeMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherNov 6, 2017Nov 8, 2017
Kenneth Wayne LiddyWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherOct 20, 2017Oct 24, 2017
Gerhard OlsenMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherOct 18, 2017Oct 24, 2017
Andreas Constantine KoustisMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherOct 10, 2017Oct 9, 2017
Joseph Battista GuerraMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherOct 4, 2017Sep 29, 2017
Eddy Joseph GutierrezMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherOct 3, 2017Sep 29, 2017
Angela Michelle Graham -WestRaymond James & Associates, Inc. national BDOppenheimer & Co. Inc. otherOtherSep 27, 2017Sep 27, 2017
David Clyde PickettMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherSep 27, 2017Sep 22, 2017
Cheree D WrightMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherSep 26, 2017Sep 26, 2017
Matthew Francis WadeUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherSep 26, 2017Sep 21, 2017
Marc LevinMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherSep 19, 2017Sep 13, 2017
Matthew George WatsonRaymond James Financial Services Advisors, Inc otherOppenheimer & Co. Inc. otherOtherSep 18, 2017Sep 8, 2017
Carol Jean MccannWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherAug 2, 2017Aug 9, 2017
Diane Jean LacinaHilltop Securities Inc. otherOppenheimer & Co. Inc. otherOtherJul 21, 2017Jul 14, 2017
Nelson Mahan KellyTruist Advisory Services, Inc. otherOppenheimer & Co. Inc. otherOtherJul 10, 2017Jul 12, 2017
Eric Wellington DeemsMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherJun 26, 2017Jul 6, 2017
Mark Edward YadgaroffAlliancebernstein L.P. otherOppenheimer & Co. Inc. otherOtherJun 13, 2017Jun 15, 2017
Eric Andrew LyonsAlliancebernstein L.P. otherOppenheimer & Co. Inc. otherOtherJun 13, 2017Jun 13, 2017
James Randall WhiteMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherJun 9, 2017Jun 8, 2017
Sean C SillWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherJun 8, 2017Oct 4, 2017 (118 d)
Tammie Lynn MccoyLPL Financial LLC otherOppenheimer & Co. Inc. otherOtherMay 25, 2017Nov 2, 2017 (161 d)
Michael TynanAdvice And Planning Services otherOppenheimer & Co. Inc. otherOtherMay 24, 2017Aug 7, 2017 (75 d)
David BeatonAmeriprise Financial Services, LLC national BDOppenheimer & Co. Inc. otherOtherMay 23, 2017May 23, 2017
Jay Richard RowleyMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherMay 8, 2017May 8, 2017
Estefania GormanWells Fargo Advisors wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankMay 3, 2017Nov 9, 2018 (555 d)
Ronald J HoltzLPL Financial LLC otherOppenheimer & Co. Inc. otherOtherMay 2, 2017Apr 10, 2017
Kevin Foster FriedmanWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherApr 20, 2017Apr 19, 2017
Leda Joan OzmenWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherApr 20, 2017Apr 19, 2017
Mark Joshua RomanWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherApr 20, 2017Apr 19, 2017
Harold Rucker VincentBb&T Investment Services, Inc. otherOppenheimer & Co. Inc. otherOtherApr 19, 2017Apr 20, 2017
William HowardMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherApr 17, 2017Apr 13, 2017
Kevin Allen KuharUBS Financial Services Inc. wirehouseOppenheimer & Co. Inc. otherOtherMar 21, 2017Mar 15, 2017
John WadeMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherMar 20, 2017Mar 24, 2017
John Anthony StockWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherMar 13, 2017Mar 15, 2017
Maral ThomasMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankMar 6, 2017Sep 5, 2018 (548 d)
Allen Duane O'BrianMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherMar 2, 2017Mar 13, 2017
Vanessa Trinh LyLegacy Planning & Associates, Inc. independent RIAOppenheimer & Co. Inc. otherOtherFeb 10, 2017Jan 11, 2017
Todd Erik ShaginMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherJan 30, 2017Jan 23, 2017
Cheryl Lynn UnderwoodIndependent Portfolio Consultants, Inc. otherOppenheimer & Co. Inc. otherOtherJan 25, 2017Jan 11, 2017
Shippen RoyerMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJan 7, 2017Jun 25, 2018 (534 d)
Hong Anh McgillSuntrust Investment Services, Inc. otherOppenheimer & Co. Inc. BD affiliatedOtherDec 31, 2016May 9, 2023 (2320 d)
Nedim SaulConcert Wealth Management otherOppenheimer & Co. Inc. otherOtherDec 27, 2016Feb 7, 2017 (42 d)
Andrew Joseph KorisMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherDec 20, 2016Dec 21, 2016
Janet L PetersonE*Trade Capital Management, LLC otherOppenheimer & Co. Inc. otherOtherDec 15, 2016Jan 26, 2017 (42 d)
Frank Oscar CurcioAmeriprise Financial Services, LLC national BDOppenheimer & Co. Inc. otherOtherDec 13, 2016Jan 11, 2017
Lorenzo Pietro GaudiosoPark Avenue Securities LLC otherOppenheimer & Co. Inc. otherOtherDec 12, 2016Dec 5, 2016
Josette Lee GreechanMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOppenheimer & Co. Inc. otherOtherDec 6, 2016Dec 13, 2016
Henry Benoit ScheuerJanney Montgomery Scott LLC otherOppenheimer & Co. Inc. otherOtherNov 29, 2016Dec 14, 2016
Michael Joseph ZadloScottrade Investment Management otherOppenheimer & Co. Inc. otherOtherNov 25, 2016Apr 4, 2017 (130 d)
Derrick Lamar LoweryMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherNov 21, 2016Dec 1, 2016
Anthony Joseph MarinoAmeriprise Financial Services, LLC national BDOppenheimer & Co. Inc. otherOtherOct 24, 2016Oct 31, 2016
Frank Ferdinand CastagnoWells Fargo Advisors wirehouseOppenheimer & Co. Inc. otherOtherOct 17, 2016Oct 25, 2016
Allison M TaylorTruist Advisory Services, Inc. no RAUMOppenheimer & Co. Inc. otherOtherSep 30, 2016Oct 3, 2016
Brian Daniel FrancisCommonwealth Financial Network national BDOppenheimer & Co. Inc. otherOtherSep 28, 2016Oct 5, 2016
Lisa Grace TerkWhitehall-Parker Securities, Inc. unclassifiedOppenheimer & Co. Inc. otherOtherSep 15, 2016Oct 24, 2017 (404 d)
Ralph Edward PrimaveraMorgan Stanley wirehouseOppenheimer & Co. Inc. otherOtherAug 16, 2016Jul 25, 2016
David Lloyd CassoUsaa Financial Planning Services no RAUMOppenheimer & Co. Inc. otherOtherJul 29, 2016Aug 5, 2016
Dineen HughesUsaa Financial Planning Services no RAUMOppenheimer & Co. Inc. otherOtherJul 27, 2016Sep 1, 2016 (36 d)
Cynthia M SerbiaBancwest Investment Services, Inc. (Bwis) otherOppenheimer & Co. Inc. otherOtherJul 26, 2016Jul 29, 2016
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1,230 moves match.