OPPENHEIMER ASSET MANAGEMENT

Latest filing: Mar 27, 2025 (34 days ago)
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AUM

$19,969,672,691
6% change vs. 1 year ago
0% change vs. 3 years ago
31% change vs. 5 years ago
48% change vs. 10 years ago

Employee Count

134
6% change vs. 1 year ago
0% change vs. 3 years ago
1% 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 $14.9
Non-Discretionary $5.0
Total $20.0
Client AUM
Retail $16.5
Pooled $0.0
Institutional $3.5
Total $20.0
Retail Accounts AUM
Individual 40,637 $12.5
Average Individual AUM $307,200
HNW 1,821 $4.0
Average HNW AUM $2,188,701
Retail Total 42,458 $16.5
Average Retail AUM $387,897

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 $20.0
Retail SMA AUM $16.5
Institutional SMA AUM $3.5
Asset Class % AUM
Equity Exch 42% $8.4
Equity Non-Exch 3% $0.6
Govt Agency 2% $0.4
Municipal 8% $1.6
Sovereign 0% $0.0
IG Credit 5% $1.0
HY Credit 1% $0.2
Derivatives 2% $0.4
Investment Companies 34% $6.8
Other Pools 0% $0.0
Cash 2% $0.4
Other 0% $0.0
Total 99% $19.8

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. $32.4 broker-dealer 249
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 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 CHAIRMAN/CEO, OWNER
KABACK, DEBORAH CHIEF LEGAL OFFICER
MCNAMARA, DENNIS, PATRICK SECRETARY/DIRECTOR
MCKIGNEY, BRYAN, EDWARD PRESIDENT/DIRECTOR
SIEGEL, DOUGLAS, THORNLEY GLOBAL COMPLIANCE OFFICER
LOWENTHAL, ROBERT, STEVEN DIRECTOR
MONTUSCHI, MARK, ERCOLE CHIEF OPERATIONS OFFICER
ROTH, BRIAN, ALAN IA-CCO
WATKINS, BRAD, MICHAEL SENIOR VICE PRESIDENT-CFO

ADVDB.CO • SOURCE: SEC

Representatives

2 active representatives found

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

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-04-21 $20.0 $0.0 0% 134 0 0%
2024-04-02 $18.8 $1.2 6% 127 7 6%
2023-04-04 $16.2 $3.7 23% 127 7 6%
2022-04-01 $19.9 $0.1 0% 134 0 0%
2021-04-05 $16.9 $3.1 18% 134 0 0%
2020-04-01 $15.2 $4.7 31% 133 1 1%
2019-04-01 $13.4 $6.6 49% 118 16 14%
2018-04-02 $14.4 $5.6 39% 125 9 7%
2017-04-01 $12.4 $7.5 61% 121 13 11%
2016-04-01 $12.2 $7.8 64% 119 15 13%
2015-04-01 $13.5 $6.5 48% 115 19 17%
2014-04-01 $12.9 $7.1 55% 115 19 17%
2013-04-01 $9.2 $10.8 117% 115 19 17%

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