OPPENHEIMER ASSET MANAGEMENT

Latest filing: Mar 19, 2024 (259 days ago)

View on IAPD

Adviser Website

AUM

$18,772,006,068

16% change vs. 1 year ago

11% change vs. 3 years ago

40% change vs. 5 years ago

46% change vs. 10 years ago

Employee Count

127

0% change vs. 1 year ago

-5% change vs. 3 years ago

8% change vs. 5 years ago

10% change vs. 10 years ago

Main Office

NEW YORK, NY

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

Client AUM

Discretion	AUM
Discretionary	$14.1
Non-Discretionary	$4.7
Total	$18.8

Client	AUM
Retail	$15.8
Pooled	$0.0
Institutional	$3.0
Total	$18.8

Retail	Accounts	AUM
Individual	40,142	$11.7
Average Individual AUM		$290,523
HNW	1,491	$4.1
Average HNW AUM		$2,752,942
Retail Total	41,633	$15.8
Average Retail AUM		$378,710

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

SMA Custodians

Custodian	Location	AUM
OPPENHEIMER & CO. INC.	NEW YORK-NY-USA	$18.7

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

Separately Managed Assets

Breakdown	AUM
Total SMA AUM	$18.8
Retail SMA AUM	$15.8
Institutional SMA AUM	$3.0

Asset Class	%	AUM
Equity Exch	38%	$7.1
Equity Non-Exch	4%	$0.8
Govt Agency	2%	$0.4
Municipal	9%	$1.7
Sovereign	0%	$0.0
IG Credit	8%	$1.5
HY Credit	1%	$0.2
Derivatives	3%	$0.6
Investment Companies	33%	$6.2
Other Pools	0%	$0.0
Cash	2%	$0.4
Other	0%	$0.0
Total	100%	$18.8

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 & CO. INC.	$27.5	broker-dealer	249
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 LIFE AGENCY, LTD.	$0.0		-
OPPENHEIMER TRUST COMPANY INC.	$0.0	trust company	-
OPCO ACTIVIST LLC	$0.0		-
OPPENHEIMER INVESTMENTS ASIA LIMITED	$0.0	broker-dealer	-
OPPENHEIMER ISRAEL (OPCO) LTD	$0.0	broker-dealer	-
FREEDOM INVESTMENTS, INC.	$0.0	broker-dealer	37674
OPPENHEIMER EUROPE LTD	$0.0	broker-dealer	-

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

Control Persons

13 active

Name	Title
LOWENTHAL, ALBERT, GRINSFELDER IAPD Broker	CHAIRMAN/CEO, OWNER
KABACK, DEBORAH IAPD Broker	CHIEF LEGAL OFFICER
MCNAMARA, DENNIS, PATRICK IAPD Broker	SECRETARY/DIRECTOR
MCKIGNEY, BRYAN, EDWARD IAPD Broker	PRESIDENT/DIRECTOR
SIEGEL, DOUGLAS, THORNLEY IAPD Broker	GLOBAL COMPLIANCE OFFICER
LOWENTHAL, ROBERT, STEVEN IAPD Broker	DIRECTOR
MONTUSCHI, MARK, ERCOLE IAPD Broker	CHIEF OPERATIONS OFFICER
ROTH, BRIAN, ALAN IAPD Broker	IA-CCO
WATKINS, BRAD, MICHAEL IAPD Broker	SENIOR VICE PRESIDENT-CFO

ADVDB.CO • SOURCE: SEC

Representatives

2 active representatives found

Name			City	State	Exams		Designations
MICHAEL RICHMAN			NEW YORK	NY	S63\|1993-06-02		CHARTERED FINANCIAL ANALYST
LEO DIERCKMAN			NEW YORK	NY	S65\|2004-10-27

ADVDB.CO • SOURCE: SEC

History

Date	AUM	AUM ∆	AUM % ∆	Empl	Empl ∆	Empl % ∆
2024-11-01	$18.8	$0.0	0%	127	0	0%
2024-04-02	$18.8	$0.0	0%	127	0	0%
2023-04-04	$16.2	$2.5	16%	127	0	0%
2022-04-01	$19.9	-$1.1	-6%	134	-7	-5%
2021-04-05	$16.9	$1.9	11%	134	-7	-5%
2020-04-01	$15.2	$3.6	23%	133	-6	-5%
2019-04-01	$13.4	$5.4	40%	118	9	8%
2018-04-02	$14.4	$4.4	31%	125	2	2%
2017-04-01	$12.4	$6.3	51%	121	6	5%
2016-04-01	$12.2	$6.6	54%	119	8	7%
2015-04-01	$13.5	$5.3	39%	115	12	10%
2014-04-01	$12.9	$5.9	46%	115	12	10%
2013-04-01	$9.2	$9.6	104%	115	12	10%

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

Other

STATE REGISTRATIONS

NY, AK-02/13/2004, AL-02/13/2004, AR-02/18/2004, AZ-02/13/2004, CA-03/28/2003, CO-03/31/2003, CT-09/12/2002, DC-09/12/2002, DE-02/13/2004, FL-09/13/2002, GA-09/12/2002, HI-02/13/2004, IA-09/12/2002, ID-02/13/2004, IL-04/01/2003, IN-02/13/2004, KS-02/13/2004, KY-02/13/2004, LA-02/13/2004, MA-09/12/2002, MD-09/12/2002, ME-02/13/2004, MI-02/13/2004, MN-03/03/2004, MO-03/28/2003, MS-02/13/2004, MT-03/31/2003, NC-09/12/2002, ND-03/19/2019, NE-02/13/2004, NH-02/13/2004, NJ-09/12/2002, NM-02/13/2004, NV-03/31/2003, NY-09/12/2002, OH-02/13/2004, OK-04/21/2003, OR-03/31/2003, PA-09/12/2002, PR-02/13/2004, RI-02/13/2004, SC-03/31/2003, SD-03/19/2019, TN-02/16/2004, TX-09/12/2002, UT-03/19/2019, VA-09/12/2002, VI-02/23/2021, VT-03/31/2003, WA-03/28/2003, WI-02/13/2004, WV-03/19/2019, WY-03/19/2019

ADVISER ACTIVITIES

PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (SMB)
MANAGER SELECTION
NEWSLETTERS

OTHER ACTIVITIES

ADVDB.CO • SOURCE: SEC FORM ADV