OPPENHEIMER & CO. INC.

Latest filing: Mar 27, 2025 (34 days ago)
View on IAPD
Adviser Website

AUM

$32,418,994,154
18% change vs. 1 year ago
20% change vs. 3 years ago
71% change vs. 5 years ago
244% change vs. 10 years ago

Employee Count

2,883
3% change vs. 1 year ago
3% change vs. 3 years ago
1% change vs. 5 years ago
-9% change vs. 10 years ago

Main Office

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

Client AUM

Discretion AUM
Discretionary $12.4
Non-Discretionary $20.0
Total $32.4
Client AUM
Retail $20.3
Pooled $0.0
Institutional $12.1
Total $32.4
Retail Accounts AUM
Individual 34,604 $15.1
Average Individual AUM $437,570
HNW 1,048 $5.2
Average HNW AUM $4,916,912
Retail Total 35,652 $20.3
Average Retail AUM $569,242

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 $32.4
Retail SMA AUM $20.3
Institutional SMA AUM $12.1
Asset Class % AUM
Equity Exch 30% $9.7
Equity Non-Exch 0% $0.0
Govt Agency 4% $1.3
Municipal 1% $0.3
Sovereign 0% $0.0
IG Credit 2% $0.6
HY Credit 0% $0.0
Derivatives 1% $0.3
Investment Companies 58% $18.8
Other Pools 0% $0.0
Cash 2% $0.6
Other 2% $0.6
Total 100% $32.4

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. $20.0 105559
ADVANTAGE ADVISERS MULTI-MANAGER, L.L.C. $2.6 108178
OPPENHEIMER INVESTMENT MANAGEMENT LLC $0.9 133243
ADVANTAGE ADVISERS MANAGEMENT, LLC $0.3 108180
OPPENHEIMER ALTERNATIVE INVESTMENT MANAGEMENT, LLC $0.0 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
ELENA SHEVCHENKO NEW YORK NY S66|2022-07-15
ISAIAH TIMM NEW YORK NY S66|2018-07-26
FREDERICK BROWN NEW YORK NY S63|1987-01-21|S65|2003-04-22
MICHAEL LEGASPI NEW YORK NY S63|2010-01-11|S65|2011-04-27
DANIEL CAVAGNARO NEW YORK NY S63|1985-08-23|S65|2003-03-17
MARK KIRBY NEW YORK NY S63|1992-05-18|S65|2005-10-28
CAROL VAUGHN NEW YORK NY S66|2023-05-03
JENA DAAKE NEW YORK NY S63|2017-05-19|S66|2020-01-22
STEVEN HELFER NEW YORK NY S63|1993-09-21|S65|1999-08-16|S66|2016-05-24
MITCHEL PENN NEW YORK NY S66|2012-05-14 CHARTERED FINANCIAL ANALYST
EILEEN SUGIMURA NEW YORK NY S63|1992-09-21|S65|1999-05-25
AARON DETERDING NEW YORK NY S63|2012-10-17|S66|2015-05-21 CERTIFIED FINANCIAL PLANNER
KRYSTINA CRUZ NEW YORK NY S66|2014-11-22
DONNA MADELEY NEW YORK NY S63|1994-03-14|S66|2016-09-08
MARY WARD NEW YORK NY S63|1996-02-27|S65|2007-12-18 CERTIFIED FINANCIAL PLANNER
STEVEN WEIL NEW YORK NY S63|1985-06-17
MICHAEL MALIK NEW YORK NY S63|1999-02-24|S65|2019-02-05
AUSTIN CORNISH NEW YORK NY S66|2017-05-25
NICHOLAS STERLING NEW YORK NY S66|2017-01-25 CERTIFIED FINANCIAL PLANNER
NICHOLAS DEMCZAR NEW YORK NY S66|2017-10-06

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-04-21 $32.4 $0.0 0% 2,883 0 0%
2024-04-02 $27.5 $5.0 18% 2,812 71 3%
2023-04-04 $22.7 $9.8 43% 2,784 99 4%
2022-04-01 $27.0 $5.4 20% 2,806 77 3%
2021-04-05 $22.7 $9.7 43% 2,788 95 3%
2020-04-01 $18.9 $13.5 71% 2,850 33 1%
2019-04-01 $10.6 $21.8 205% 2,868 15 1%
2018-04-02 $15.1 $17.3 114% 2,740 143 5%
2017-04-01 $9.6 $22.8 236% 2,949 -66 -2%
2016-04-01 $9.1 $23.3 257% 3,035 -152 -5%
2015-04-01 $9.4 $23.0 244% 3,185 -302 -9%
2014-04-01 $8.7 $23.8 274% 3,386 -503 -15%
2013-04-01 $11.5 $20.9 181% 3,462 -579 -17%

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