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
Erik Lynch	Charles Schwab & Co., Inc. national BD	Oppenheimer & Co. Inc. other	Other	Jul 26, 2016	Aug 2, 2016
David Brian Schaum	Raymond James & Associates, Inc. national BD	Oppenheimer & Co. Inc. other	Other	Jul 11, 2016	Jul 11, 2016
Kenneth Joseph Green	Raymond James & Associates, Inc. national BD	Oppenheimer & Co. Inc. other	Other	Jul 7, 2016	Jul 8, 2016
Shahzeib Parvez	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Jun 24, 2016	Jun 22, 2016
Joslain Joseph	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Jun 13, 2016	Jun 14, 2016
Mark Edward Trafford	Wells Fargo Advisors wirehouse	Oppenheimer & Co. Inc. other	Other	May 25, 2016	May 25, 2016
Kjeld Engberg	Credit Suisse Securities (USA) LLC other	Oppenheimer & Co. Inc. BD affiliated	Other	May 12, 2016	Aug 20, 2018 (830 d)
Glenn R Rudy	Wells Fargo Advisors wirehouse	Oppenheimer & Co. Inc. other	Other	May 12, 2016	May 12, 2016
Maria C Palumbo	Stifel, Nicolaus & Company, Incorporated national BD	Oppenheimer & Co. Inc. other	Other	May 9, 2016	May 19, 2016
Todd Christopher Wiggins	UBS Financial Services Inc. wirehouse	Oppenheimer & Co. Inc. other	Other	May 6, 2016	May 13, 2016
Seth Benjamin Schoen	Park Avenue Securities LLC other	Oppenheimer & Co. Inc. other	Other	May 2, 2016	Oct 19, 2016 (170 d)
Robert Abramowitz	Raymond James Financial Services Advisors, Inc other	Oppenheimer & Co. Inc. other	Other	Apr 21, 2016	Jan 5, 2017 (259 d)
Alan B Woller	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Apr 21, 2016	Jun 24, 2016 (64 d)
Jamar Carr	Eagle Strategies LLC other	Oppenheimer & Co. Inc. other	Other	Apr 12, 2016	Apr 27, 2016
David Nell	J.P. Morgan Securities LLC wirehouse	Oppenheimer & Co. Inc. other	Other	Apr 7, 2016	Apr 15, 2016
Stephen Michael Tomkins	Janney Montgomery Scott LLC other	Oppenheimer & Co. Inc. other	Other	Apr 6, 2016	Apr 4, 2016
Lee S Mason	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Mar 29, 2016	Apr 7, 2016
Scott Alan Turcott	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Mar 15, 2016	Apr 8, 2016
Steven M Reauso	Pnc Wealth Management other	Oppenheimer & Co. Inc. other	Other	Mar 10, 2016	Mar 7, 2016
David Charles Turcott	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Mar 9, 2016	Apr 11, 2016 (33 d)
Paul Robert Turcott	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Mar 9, 2016	Apr 7, 2016
William E Jorden	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Mar 9, 2016	Apr 8, 2016
Michael Kennedy Carberry	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Mar 4, 2016	Feb 17, 2016
Samuel Noah Tenzer	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Mar 2, 2016	Feb 4, 2016
Leslie Gail Stephenson	Familywealth Asset Management other	Oppenheimer & Co. Inc. other	Other	Feb 22, 2016	Mar 1, 2016
John Hollis Ingraham	Wedbush Securities Inc. other	Oppenheimer & Co. Inc. other	Other	Feb 12, 2016	Feb 11, 2016
Gregory M Adamczyk	Pnc Wealth Management other	Oppenheimer & Co. Inc. other	Other	Feb 1, 2016	Feb 3, 2016
Christine Annabelle Sakraida	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Jan 29, 2016	Feb 4, 2016
F S Masri	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Jan 19, 2016	Jan 15, 2016
Julie Ann Powers	Osaic Institutions, Inc. other	Oppenheimer & Co. Inc. other	Other	Jan 11, 2016	Jan 21, 2016
Alexander Morgan Smith	Wells Fargo Advisors wirehouse	Oppenheimer & Co. Inc. other	Other	Jan 8, 2016	Jan 7, 2016
Martha L Raghunauth	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Jan 4, 2016	Jan 21, 2016
Paul Michael Jocson Reyes	UBS Financial Services Inc. wirehouse	Oppenheimer & Co. Inc. other	Other	Dec 24, 2015	Dec 21, 2015
Michael Joseph Murdock	Ameriprise Financial Services, LLC national BD	Oppenheimer & Co. Inc. other	Other	Nov 3, 2015	May 31, 2016 (210 d)
Robin Lott	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Oct 29, 2015	Jan 12, 2016 (75 d)
Kevin Enrique Concha	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Oct 19, 2015	Oct 19, 2015
Brian D Brogan	Bcg Securities, Inc. other	Oppenheimer & Co. Inc. other	Other	Sep 23, 2015	Feb 23, 2017 (519 d)
Joseph Robert Watson	U.S. Bancorp Investments, Inc. other	Oppenheimer & Co. Inc. other	Other	Sep 22, 2015	Sep 22, 2015
Michael Leo Campione	Wealthspire Retirement Advisory other	Oppenheimer & Co. Inc. BD affiliated	Other	Sep 1, 2015	Apr 7, 2021 (2045 d)
Ryan Tray Svendson	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Aug 26, 2015	Aug 10, 2015
Brad Joseph Landry	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Aug 19, 2015	Aug 17, 2015
Chad Edward Allen	UBS Financial Services Inc. wirehouse	Oppenheimer & Co. Inc. other	Other	Aug 12, 2015	Aug 13, 2015
Thomas Aloysius Gallagher	Raymond James & Associates, Inc. national BD	Oppenheimer & Co. Inc. other	Other	Aug 12, 2015	May 11, 2016 (273 d)
Christopher Nathan Hendryx	Cerity Partners Ocio LLC other	Oppenheimer & Co. Inc. other	Other	Jul 21, 2015	Jun 2, 2015
James Sander Ries	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Jun 29, 2015	Aug 4, 2015 (36 d)
Jose Baez	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Jun 17, 2015	Jun 4, 2015
Kevin Thomas Adams	RBC Capital Markets, LLC national BD	Oppenheimer & Co. Inc. other	Other	Jun 17, 2015	May 29, 2015
David Victor Anderson	Ameriprise Financial Services, LLC national BD	Oppenheimer & Co. Inc. other	Other	May 14, 2015	May 6, 2015
Steven Victor Sellers	Ameriprise Financial Services, LLC national BD	Oppenheimer & Co. Inc. other	Other	May 14, 2015	May 6, 2015
Laura Lee White	UBS Financial Services Inc. wirehouse	Oppenheimer & Co. Inc. other	Other	May 13, 2015	May 6, 2015
Feng Shen	Wedbush Securities Inc. other	Oppenheimer & Co. Inc. other	Other	May 5, 2015	May 4, 2015
Omri Amit	RBC Capital Markets, LLC national BD	Oppenheimer & Co. Inc. other	Other	Apr 28, 2015	Apr 6, 2015
Ryan Colby Howard	Pnc Wealth Management other	Oppenheimer & Co. Inc. other	Other	Apr 23, 2015	Apr 22, 2015
John Joseph Walsh	Morgan Stanley wirehouse	Oppenheimer & Co. Inc. other	Other	Apr 22, 2015	Dec 5, 2016 (593 d)
Francis X Roche	Robert W. Baird & Co. Incorporated other	Oppenheimer & Co. Inc. other	Other	Apr 21, 2015	Apr 15, 2015
Luis A Garcia	RBC Capital Markets, LLC national BD	Oppenheimer & Co. Inc. other	Other	Apr 21, 2015	Mar 31, 2015
Janet L Peterson	Td Ameritrade Investment Management, LLC other	Oppenheimer & Co. Inc. other	Other	Apr 17, 2015	Jan 21, 2016 (279 d)
Harris Stephen Tuchman	Wells Fargo Advisors wirehouse	Oppenheimer & Co. Inc. other	Other	Apr 15, 2015	Jun 2, 2015 (48 d)
Matthew Steven Marcolina	Wells Fargo Advisors wirehouse	Oppenheimer & Co. Inc. other	Other	Mar 30, 2015	Mar 27, 2015
Dean Andrew Bahniuk	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Oppenheimer & Co. Inc. other	Other	Mar 20, 2015	Feb 23, 2015

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1,230 moves match.