AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.1 |
| Non-Discretionary | $0.0 |
| Total | $0.1 |
| Client | AUM |
|---|---|
| Retail | $0.1 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.1 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 76 | $0.0 |
| Average Individual AUM | $479,733 | |
| HNW | 50 | $0.0 |
| Average HNW AUM | $816,753 | |
| Retail Total | 126 | $0.1 |
| Average Retail AUM | $613,471 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| PERSHING LLC | JERSEY CITY-NJ-USA | $0.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.1 |
| Retail SMA AUM | $0.1 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 63% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 24% | $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 | 0% | $0.0 |
| Other Pools | 1% | $0.0 |
| Cash | 12% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| OPPVEST, LLC | $0.2 | 296317 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
5 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| CARL OPPENHEIMER | NEW YORK | NY | S63|2005-08-17|S65|2008-03-18 | ||||||
| STEPHEN FARRELL | NEW YORK | NY | |||||||
| JOHN KOLLER | NEW YORK | NY | S63|2005-08-22 | ||||||
| PHILIP OPPENHEIMER | NEW YORK | NY | S63|1979-09-27 | ||||||
| MARK CLOSE | NEW YORK | NY | S63|1993-12-20|S65|1996-04-15 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-04-21 | $0.1 | $0.0 | 0% | 5 | 0 | 0% |
| 2024-04-02 | $0.1 | $0.0 | -4% | 6 | -1 | -17% |
| 2023-04-04 | $0.1 | $0.0 | -2% | 6 | -1 | -17% |
| 2022-04-01 | $0.1 | $0.0 | -10% | 6 | -1 | -17% |
| 2021-04-05 | $0.1 | $0.0 | -18% | 5 | 0 | 0% |
| 2020-04-01 | $0.1 | $0.0 | -18% | 5 | 0 | 0% |
| 2019-04-01 | $0.1 | $0.0 | -12% | 5 | 0 | 0% |
| 2018-04-02 | $0.1 | $0.0 | -20% | 5 | 0 | 0% |
| 2017-04-01 | $0.3 | -$0.2 | -71% | 7 | -2 | -29% |
| 2016-04-01 | $0.3 | -$0.2 | -70% | 7 | -2 | -29% |
| 2015-04-01 | $0.3 | -$0.2 | -71% | 7 | -2 | -29% |
| 2014-04-01 | $0.3 | -$0.2 | -72% | 6 | -1 | -17% |
| 2013-04-01 | $0.2 | -$0.2 | -66% | 7 | -2 | -29% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NY, AZ-03/25/2008, CA-07/08/1997, CT-07/02/2008, DC-04/05/2010, FL-02/12/1994, MA-08/13/2009, NH-05/21/2009, NJ-02/23/1995, NY-06/28/1996, PA-11/09/2009, TX-05/21/2019 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV