AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.9 |
| Non-Discretionary | $0.0 |
| Total | $0.9 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $0.0 |
| Institutional | $0.9 |
| Total | $0.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 1 | $0.0 |
| Average HNW AUM | $825,847 | |
| Retail Total | 1 | $0.0 |
| Average Retail AUM | $825,847 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| U.S. BANK | MINNEAPOLIS-MN-USA | $0.5 |
| COMERICA BANK | DALLAS-TX-USA | $0.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.9 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.9 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 13% | $0.1 |
| Municipal | 13% | $0.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 46% | $0.4 |
| HY Credit | 26% | $0.2 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.9 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| OPPENHEIMER & CO. INC. | $27.5 | broker-dealer | 249 |
| OPPENHEIMER ASSET MANAGEMENT INC. | $18.8 | 105559 | |
| ADVANTAGE ADVISERS MULTI-MANAGER, L.L.C. | $2.3 | 108178 | |
| ADVANTAGE ADVISERS MANAGEMENT, LLC | $0.2 | 108180 | |
| OPPENHEIMER ALTERNATIVE INVESTMENT MANAGEMENT, LLC | $0.1 | 140485 | |
| OPPENHEIMER ISRAEL (OPCO) LTD | $0.0 | broker-dealer | - |
| OPPENHEIMER EUROPE LTD. | $0.0 | broker-dealer | - |
| OPPENHEIMER LIFE AGENCY, LTD | $0.0 | - | |
| OPPENHEIMER INVESTMENTS ASIA LIMITED | $0.0 | broker-dealer | - |
| OPCO ACTIVIST LLC | $0.0 | - | |
| FREEDOM INVESTMENTS, INC. | $0.0 | broker-dealer | 37674 |
| OPPENHEIMER TRUST COMPANY INC. | $0.0 | trust company | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
10 active
| Name | Title |
|---|---|
| LOWENTHAL, ALBERT, GRINSFELDER | CHAIRMAN |
| MCKIGNEY, BRYAN, EDWARD | PRESIDENT |
| MCNAMARA, DENNIS, PATRICK | SECRETARY |
| KABACK, DEBORAH | CHIEF LEGAL OFFICER |
| SIEGEL, DOUGLAS, THORNLEY | GLOBAL COMPLIANCE OFFICER |
| KURTZ, LAWRENCE | CHIEF COMPLIANCE OFFICER |
| WATKINS, BRAD, MICHAEL | SENIOR VP, CHIEF FINANCIAL OFFICER |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $0.9 | $0.0 | 0% | 7 | 0 | 0% |
| 2024-04-02 | $0.9 | $0.0 | 0% | 7 | 0 | 0% |
| 2023-04-04 | $0.8 | $0.0 | 2% | 8 | -1 | -12% |
| 2022-04-01 | $0.9 | $0.0 | -2% | 7 | 0 | 0% |
| 2021-04-05 | $0.8 | $0.1 | 7% | 7 | 0 | 0% |
| 2020-04-01 | $0.8 | $0.1 | 10% | 8 | -1 | -12% |
| 2019-04-01 | $0.7 | $0.2 | 22% | 8 | -1 | -12% |
| 2018-04-02 | $0.7 | $0.2 | 23% | 8 | -1 | -12% |
| 2017-04-01 | $1.3 | -$0.4 | -34% | 8 | -1 | -12% |
| 2016-04-01 | $1.2 | -$0.3 | -29% | 8 | -1 | -12% |
| 2015-04-01 | $1.2 | -$0.3 | -29% | 8 | -1 | -12% |
| 2014-04-01 | $1.2 | -$0.3 | -29% | 8 | -1 | -12% |
| 2013-04-01 | $1.2 | -$0.3 | -27% | 8 | -1 | -12% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NY, AL-06/16/2005, CA-06/16/2005, DC-06/16/2005, FL-06/17/2005, GA-06/16/2005, IL-06/17/2005, IN-06/16/2005, MI-06/16/2005, NY-12/03/2004, PA-06/16/2005 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV