O'SHAUGHNESSY ASSET MANAGEMENT, LLC

Latest filing: Dec 17, 2024 (322 days ago)
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AUM

$12,599,503,777
58% change vs. 1 year ago
83% change vs. 3 years ago
121% change vs. 5 years ago
80% change vs. 10 years ago

Employee Count

81
16% change vs. 1 year ago
88% change vs. 3 years ago
145% change vs. 5 years ago
102% change vs. 10 years ago

Main Office

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

Client AUM

Discretion AUM
Discretionary $12.6
Non-Discretionary $0.0
Total $12.6
Client AUM
Retail $9.1
Pooled $1.4
Institutional $2.1
Total $12.6
Retail Accounts AUM
Individual 0 $0.0
Average Individual AUM $0
HNW 6,368 $9.1
Average HNW AUM $1,436,837
Retail Total 6,368 $9.1
Average Retail AUM $1,436,837

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 $11.2
Retail SMA AUM $9.1
Institutional SMA AUM $2.1
Asset Class % AUM
Equity Exch 91% $10.2
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% $0.9
Other Pools 0% $0.0
Cash 1% $0.1
Other 0% $0.0
Total 100% $11.2

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. $467.0 104517
FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC $125.9 142219
FRANKLIN MANAGED OPTIONS STRATEGIES, LLC $0.4 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
HAOQI ZHANG STAMFORD CT S65|2022-11-05
MAKSIM PAPENKOV STAMFORD CT S65|2021-03-26
MARK HEBEKA STAMFORD CT S66|2008-10-27 CHARTERED FINANCIAL ANALYST
EUAN MACKAY STAMFORD CT CHARTERED FINANCIAL ANALYST
JOSEPH GIROUX STAMFORD CT S65|2024-01-06
CLAUDINE SPENCE STAMFORD CT S66|2008-07-31
CHRISTIAN CORATTI STAMFORD CT S65|2023-08-23
CHRISTIAN BOINSKE STAMFORD CT S66|2016-12-05
ROGER PARADISO STAMFORD CT S63|1994-11-18|S65|1994-11-16
PAUL ACKERLEY STAMFORD CT S66|2016-04-21
ARI ROSENBAUM STAMFORD CT S63|2011-03-15|S66|2006-01-30
JAMIE ZELEM STAMFORD CT S66|2007-01-29 CHARTERED FINANCIAL ANALYST
JAMES CATHERWOOD STAMFORD CT S65|2019-07-31
THOMAS FARRELL STAMFORD CT S65|2020-06-23
SCOTT BARTONE STAMFORD CT S66|2007-02-16 CHARTERED FINANCIAL ANALYST
JEFFREY GEBAUER STAMFORD CT S65|2023-05-20
EHREN STANHOPE STAMFORD CT S63|2010-11-18|S65|2010-04-22 CHARTERED FINANCIAL ANALYST
WILLIAM CARINCI STAMFORD CT S63|2006-01-10|S66|2022-10-17
LENNY CASTAGNA STAMFORD CT S66|2006-04-12
PATRICK O'SHAUGHNESSY STAMFORD CT S65|2008-07-24

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-08-01 $12.6 $0.0 0% 81 0 0%
2025-04-21 $12.6 $0.0 0% 81 0 0%
2024-04-02 $8.0 $4.6 58% 70 11 16%
2023-04-04 $6.3 $6.3 100% 60 21 35%
2022-04-01 $6.9 $5.7 83% 43 38 88%
2021-04-05 $4.8 $7.8 161% 35 46 131%
2020-04-01 $5.7 $6.9 121% 33 48 145%
2019-04-01 $5.1 $7.4 145% 32 49 153%
2018-04-02 $5.7 $6.9 122% 31 50 161%
2017-04-01 $5.3 $7.3 136% 33 48 145%
2016-04-01 $5.4 $7.2 135% 40 41 102%
2015-04-01 $7.0 $5.6 80% 40 41 102%
2014-04-01 $6.5 $6.1 94% 35 46 131%
2013-04-01 $4.9 $7.7 160% 29 52 179%

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