OPPENHEIMER & CO. INC.

Latest filing: Jul 18, 2024 (126 days ago)
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Adviser Website

AUM

$27,451,266,086
21% change vs. 1 year ago
21% change vs. 3 years ago
159% change vs. 5 years ago
217% change vs. 10 years ago

Employee Count

2,812
1% change vs. 1 year ago
1% change vs. 3 years ago
-2% change vs. 5 years ago
-17% change vs. 10 years ago

Main Office

NEW YORK, NY
85 BROAD STREET, NEW YORK, NY, UNITED STATES, 10004

Client AUM

Discretion AUM
Discretionary $10.6
Non-Discretionary $16.8
Total $27.5
Client AUM
Retail $16.9
Pooled $0.0
Institutional $10.6
Total $27.5
Retail Accounts AUM
Individual 31,917 $12.9
Average Individual AUM $405,610
HNW 786 $3.9
Average HNW AUM $5,004,677
Retail Total 32,703 $16.9
Average Retail AUM $516,146

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

SMA Custodians

Custodian Location AUM
OPPENHEIMER & CO. INC. NEW YORK-NY-USA $19.4

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

Separately Managed Assets

Breakdown AUM
Total SMA AUM $27.4
Retail SMA AUM $16.9
Institutional SMA AUM $10.6
Asset Class % AUM
Equity Exch 29% $8.0
Equity Non-Exch 0% $0.0
Govt Agency 5% $1.4
Municipal 1% $0.3
Sovereign 0% $0.0
IG Credit 3% $0.8
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 57% $15.6
Other Pools 0% $0.0
Cash 3% $0.8
Other 2% $0.5
Total 100% $27.4

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
OPPENHEIMER ASSET MANAGEMENT INC. $18.8 105559
ADVANTAGE ADVISERS MULTI-MANAGER, L.L.C. $2.3 108178
OPPENHEIMER INVESTMENT MANAGEMENT LLC $0.9 133243
ADVANTAGE ADVISERS MANAGEMENT, LLC $0.2 108180
OPPENHEIMER ALTERNATIVE INVESTMENT MANAGEMENT, LLC $0.1 140485
OPPENHEIMER ISRAEL (OPCO) LTD $0.0 broker-dealer -
OPPENHEIMER LIFE AGENCY, LTD. $0.0 -
OPPENHEIMER INVESTMENTS ASIA LIMITED $0.0 broker-dealer -
FREEDOM INVESTMENTS, INC. $0.0 broker-dealer 37674
OPPENHEIMER EUROPE LTD $0.0 broker-dealer -
OPPENHEIMER TRUST COMPANY INC. $0.0 trust company -
OPCO ACTIVIST LLC $0.0 -

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

Control Persons

14 active

Name Title
LOWENTHAL, ALBERT GRINSFELDER CHMN/DIR/CEO - OWNS 100% OF PHASE II FIN'L, OWNS 100%
MCNAMARA, DENNIS PATRICK E.V.P./CLO/SECRETARY
BENEDETTO, JOHN ANTHONY DIRECTOR
MCGUIRE, JOHN THOMAS MANAGING DIRECTOR/DEPUTY GENERAL COUNSEL- DIRECTOR OF LITIGATION
SIEGEL, DOUGLAS THORNLEY CHIEF COMPLIANCE OFFICER
LOWENTHAL, ROBERT STEVEN DIRECTOR/PRESIDENT
HARRINGTON, EDWARD PATRICK EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES
MOLOKIE JR, LEON E EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER
WATKINS, BRAD MICHAEL EXECUTIVE VICE PRESIDENT-CFO

ADVDB.CO • SOURCE: SEC

Representatives

1,133 active representatives found, showing 20 random

Name City State Exams Designations
LAWRENCE DOBRIN NEW YORK NY S63|1980-05-22|S65|2007-09-20
STEVEN BAADEN NEW YORK NY S63|1986-06-06|S65|1995-03-23
GARY MELONSON NEW YORK NY S63|1998-07-02|S65|1998-07-10
WILLIAM SCOTT NEW YORK NY S63|1982-02-17|S65|2007-03-22
SURAJ KALIA NEW YORK NY S63|2004-10-16 CHARTERED FINANCIAL ANALYST
MICHAEL LACHNIT NEW YORK NY S63|1989-12-11|S65|1993-10-27
ARIYA PEJOUHESH NEW YORK NY S66|2007-10-01
CHARLES SHALMI NEW YORK NY S63|1984-08-21|S65|2001-05-04|S66|2018-01-31
DANIEL SULLIVAN NEW YORK NY S66|2018-05-21
COLIN STEVENS NEW YORK NY S66|2023-05-08
JOHN WADE NEW YORK NY S63|2001-01-09|S66|2006-04-05 CERTIFIED FINANCIAL PLANNER
DANIEL FINDLEY NEW YORK NY S63|1997-01-03|S65|1997-01-24
DINEEN HUGHES NEW YORK NY S66|2007-06-20 CERTIFIED FINANCIAL PLANNER
ROBERT HAYNIE NEW YORK NY S63|2005-05-20|S65|1993-06-29 CERTIFIED FINANCIAL PLANNER
THOMAS VALEO NEW YORK NY S63|1984-09-13|S65|2006-01-04
ANTHONY MANOUGIAN NEW YORK NY S63|1994-08-23|S66|2008-08-05
DAVID LAZARUS NEW YORK NY S63|1983-04-26|S65|2008-01-11
PHILIP GULLO NEW YORK NY S63|1992-07-30|S65|2000-08-21
DONNA MADELEY NEW YORK NY S63|1994-03-14|S66|2016-09-08
KENNETH LIDDY NEW YORK NY S63|1989-03-30|S65|1996-08-21

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-11-01 $27.5 $0.0 0% 2,812 0 0%
2024-04-02 $27.5 $0.0 0% 2,812 0 0%
2023-04-04 $22.7 $4.8 21% 2,784 28 1%
2022-04-01 $27.0 $0.4 2% 2,806 6 0%
2021-04-05 $22.7 $4.7 21% 2,788 24 1%
2020-04-01 $18.9 $8.5 45% 2,850 -38 -1%
2019-04-01 $10.6 $16.8 159% 2,868 -56 -2%
2018-04-02 $15.1 $12.3 81% 2,740 72 3%
2017-04-01 $9.6 $17.8 185% 2,949 -137 -5%
2016-04-01 $9.1 $18.4 202% 3,035 -223 -7%
2015-04-01 $9.4 $18.0 191% 3,185 -373 -12%
2014-04-01 $8.7 $18.8 217% 3,386 -574 -17%
2013-04-01 $11.5 $15.9 138% 3,462 -650 -19%

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

Other

STATE REGISTRATIONS
NY, AK-01/10/2003, AL-01/10/2003, AR-01/10/2003, AZ-04/19/2002, CA-07/08/1997, CO-01/10/2003, CT-12/08/1998, DC-01/10/2003, DE-09/05/2003, FL-02/13/1990, GA-01/10/2003, HI-01/10/2003, IA-01/10/2003, ID-01/10/2003, IL-01/19/1989, IN-01/10/2003, KS-01/10/2003, KY-01/10/2003, LA-10/05/2001, MA-05/12/1994, MD-01/10/2003, ME-11/11/1994, MI-01/10/2003, MN-01/10/2003, MO-01/10/2003, MS-01/10/2003, MT-01/10/2003, NC-01/08/2001, ND-01/10/2003, NE-01/10/2003, NH-06/24/1992, NJ-01/10/2003, NM-06/20/1994, NV-01/15/1998, NY-01/01/1984, OH-02/03/2003, OK-01/10/2003, OR-01/10/2003, PA-01/02/2003, PR-01/10/2003, RI-01/07/2003, SC-01/10/2003, SD-01/09/2003, TN-01/10/2003, TX-01/02/2003, UT-01/10/2003, VA-04/20/1994, VI-02/23/2021, VT-12/31/1995, WA-01/10/2003, WI-02/22/2000, WV-05/13/1994, WY-03/10/2020
ADVISER ACTIVITIES
FINANCIAL PLANNING
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (POOLS)
PORTFOLIO MANAGEMENT (SMB)
PENSION CONSULTING
MANAGER SELECTION
OTHER ACTIVITIES
BROKER DEALER
INSURANCE AGENT

ADVDB.CO • SOURCE: SEC FORM ADV