O'SHAUGHNESSY ASSET MANAGEMENT, LLC

Latest filing: Aug 05, 2024 (111 days ago)
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AUM

$7,983,580,249
27% change vs. 1 year ago
65% change vs. 3 years ago
55% change vs. 5 years ago
23% change vs. 10 years ago

Employee Count

69
15% change vs. 1 year ago
97% change vs. 3 years ago
116% change vs. 5 years ago
97% change vs. 10 years ago

Main Office

STAMFORD, CT
100 FIRST STAMFORD PLACE, STAMFORD, CT, UNITED STATES, 06902

Client AUM

Discretion AUM
Discretionary $8.0
Non-Discretionary $0.0
Total $8.0
Client AUM
Retail $4.4
Pooled $1.4
Institutional $2.2
Total $8.0
Retail Accounts AUM
Individual 0 $0.0
Average Individual AUM $0
HNW 3,725 $4.4
Average HNW AUM $1,177,577
Retail Total 3,725 $4.4
Average Retail AUM $1,177,577

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $6.5
Retail SMA AUM $4.4
Institutional SMA AUM $2.2
Asset Class % AUM
Equity Exch 91% $6.0
Equity Non-Exch 0% $0.0
Govt Agency 0% $0.0
Municipal 0% $0.0
Sovereign 0% $0.0
IG Credit 0% $0.0
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 8% $0.5
Other Pools 0% $0.0
Cash 1% $0.1
Other 0% $0.0
Total 100% $6.5

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
FRANKLIN ADVISERS, INC. $339.2 104517
FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC $105.4 142219
FRANKLIN MANAGED OPTIONS STRATEGIES, LLC $0.6 325732

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

13 active

Name Title
LOVELESS, CHRISTOPHER, STRATTON PRESIDENT/PRINCIPAL
AMOROSO III, RAYMOND, NMN CHIEF COMPLIANCE OFFICER/PRINCIPAL
ROSENBAUM, ARI, MARK DIRECTOR OF PRIVATE WEALTH SOLUTIONS/PRINCIPAL
MEREDITH, CHRISTOPHER, IRA CHIEF INVESTMENT OFFICER/PORTFOLIO MANAGER/PRINCIPAL
FOLEY, ERIN, MARIE DIRECTOR OF TRADING/PRINCIPAL
BARTONE, SCOTT, MICHAEL CHIEF PRODUCT OFFICER/PORTFOLIO MANAGER/PRINCIPAL
O'SHAUGHNESSY, PATRICK, WALKER CHAIRMAN EMERITUS
STANHOPE, EHREN, JONATHAN CHIEF INVESTMENT STRATEGIST/PRINCIPAL
SPENCE, CLAUDINE, ANTOINETTE DIRECTOR OF CLIENT SERVICE/PRINCIPAL
PARADISO, ROGER, NMN EXECUTIVE CHAIRMAN/PRINCIPAL
GUPTA, RAJAT, NMN CHIEF TECHNOLOGY OFFICER/PRINCIPAL
SMITH, KRISTOPHER, RYAN CHIEF OPERATING OFFICER/PRINCIPAL

ADVDB.CO • SOURCE: SEC

Representatives

40 active representatives found, showing 20 random

Name City State Exams Designations
THOMAS FARRELL STAMFORD CT S65|2020-06-23
HAOQI ZHANG STAMFORD CT S65|2022-11-05
JULIE ANNE MARIE VILLENA STAMFORD CT S66|2000-11-06|S63|2019-02-15
EHREN STANHOPE STAMFORD CT S63|2010-11-18|S65|2010-04-22 CHARTERED FINANCIAL ANALYST
ANTHONY VOLLMER STAMFORD CT S63|2007-05-24|S66|2022-10-27
JAMES CATHERWOOD STAMFORD CT S65|2019-07-31
CHRISTIAN BOINSKE STAMFORD CT S66|2016-12-05
JEFFREY GEBAUER STAMFORD CT S65|2023-05-20
CHRISTOPHER LOVELESS STAMFORD CT S63|1994-10-19|S65|2000-05-16
DANIEL NITIUTOMO STAMFORD CT CHARTERED FINANCIAL ANALYST
MARK HEBEKA STAMFORD CT S66|2008-10-27 CHARTERED FINANCIAL ANALYST
NICHOLAS BHASKAR STAMFORD CT S65|2022-12-05
ROGER PARADISO STAMFORD CT S63|1994-11-18|S65|1994-11-16
CLAUDINE SPENCE STAMFORD CT S66|2008-07-31
KRISTEN CLARK STAMFORD CT S66|2020-11-19 CHARTERED FINANCIAL ANALYST
LAURA FOSTER STAMFORD CT S63|2014-04-01 CHARTERED FINANCIAL ANALYST
ERIN FOLEY STAMFORD CT S63|1996-04-25|S66|2008-05-08
CLAIRE NOEL STAMFORD CT CHARTERED FINANCIAL ANALYST
EUAN MACKAY STAMFORD CT CHARTERED FINANCIAL ANALYST
PATRICK O'SHAUGHNESSY STAMFORD CT S65|2008-07-24

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-11-01 $8.0 $0.0 0% 69 0 0%
2024-04-02 $8.0 $0.0 0% 70 -1 -1%
2023-04-04 $6.3 $1.7 27% 60 9 15%
2022-04-01 $6.9 $1.1 16% 43 26 60%
2021-04-05 $4.8 $3.2 65% 35 34 97%
2020-04-01 $5.7 $2.3 40% 33 36 109%
2019-04-01 $5.1 $2.8 55% 32 37 116%
2018-04-02 $5.7 $2.3 41% 31 38 123%
2017-04-01 $5.3 $2.7 50% 33 36 109%
2016-04-01 $5.4 $2.6 49% 40 29 72%
2015-04-01 $7.0 $1.0 14% 40 29 72%
2014-04-01 $6.5 $1.5 23% 35 34 97%
2013-04-01 $4.9 $3.1 65% 29 40 138%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
CT, AK-02/15/2008, AL-02/15/2008, AR-02/15/2008, AZ-02/15/2008, CA-02/15/2008, CO-02/15/2008, CT-10/05/2007, DC-02/15/2008, DE-02/26/2008, FL-02/19/2008, GA-02/15/2008, HI-02/15/2008, IA-02/19/2008, ID-02/15/2008, IL-03/26/2008, IN-02/15/2008, KS-02/15/2008, KY-02/15/2008, LA-02/15/2008, MA-02/15/2008, MD-02/15/2008, ME-02/15/2008, MI-02/15/2008, MN-02/29/2008, MO-02/15/2008, MS-02/15/2008, MT-02/15/2008, NC-02/15/2008, ND-02/15/2008, NE-02/15/2008, NH-02/15/2008, NJ-03/25/2008, NM-02/15/2008, NV-02/15/2008, NY-02/15/2008, OH-02/15/2008, OK-02/15/2008, OR-02/15/2008, PA-02/15/2008, PR-05/25/2016, RI-02/15/2008, SC-02/15/2008, SD-02/21/2008, TN-02/18/2008, TX-02/15/2008, UT-02/15/2008, VA-02/15/2008, VI-05/25/2016, VT-02/15/2008, WA-02/15/2008, WI-02/15/2008, WV-02/15/2008, WY-02/08/2022
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (RIC)
PORTFOLIO MANAGEMENT (POOLS)
PORTFOLIO MANAGEMENT (SMB)
OTHER ACTIVITIES

ADVDB.CO • SOURCE: SEC FORM ADV