Oppenheimer Asset Management

RIASEC RegisteredEst. 1988
Total AUM
$21.3B
Discretionary
$16.3B
77% of AUM
Avg account
$490K
Accounts
43,537
Employees
129
Advisory reps
14

Firm details

Headquarters
New York, New York
CRD number
105559
Registered since
March 17, 1988
Custodians
OPPENHEIMER & CO. INC.
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • Individuals61.54%
  • HNWI20.41%
  • Corporations / Businesses7.49%
  • Other4.69%
  • Charitable Organizations3.56%
Services
Portfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsSelection of Other AdvisersPublication of Periodicals

Firm profile

FINTRX

Overview

Oppenheimer Asset Management is a corporate investment adviser that has been SEC-registered since 1988. The firm operates as a multi-strategy fund manager with activity in hedge fund and private equity strategies while also providing more traditional portfolio management. Its client base spans individuals and families as well as institutional investors. Fee arrangements include both percentage-of-AUM charges and fixed fees. Advisory services reported on filings include discretionary and non‑discretionary portfolio management for individuals, pooled vehicles and institutions, selection of other advisers, and publication of periodicals or newsletters. The firm is identified as not being an active ESG investor and is not registered as a multi‑state adviser per the snapshot data. Industry affiliations listed in the profile include relationships with broker‑dealer, trust company, insurance company, CPO/CTA, pension consultant functions and roles as sponsor or managing member of pooled vehicles.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 43%, Public Funds/Mutual Funds 35%, State & Local Bonds 6%, Investment Grade Corp Bonds 5%, Non-Exchange Traded Equities 4%, Derivatives 2%, Cash & Cash Equivalents 2%, US Government Bonds 1%, Non-Investment Grade Corp Bonds 1%, Other 1%43%
  • Exchange Traded Equities43%
  • Public Funds/Mutual Funds35%
  • State & Local Bonds6%
  • Investment Grade Corp Bonds5%
  • Non-Exchange Traded Equities4%

Owners & executives

3 of 5
  • Robert Lowenthal

    Robert Lowenthal

    President and Chief Executive OfficerCRD 1639913

  • Brian Roth

    Brian Roth

    Chief Compliance OfficerCRD 1424322

  • Brad Watkins

    Brad Watkins

    Executive Vice President, Chief Financial OfficerCRD 6319251

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Contacts

3 of 9
  • Maurice Stuffmann

    Maurice Stuffmann

    Financial Advisor, Managing Director - InvestmentsCRD 439058

  • Leo Dierckman

    Leo Dierckman

    Managing Director & Portfolio ManagerCRD 4825963

  • Elizabeth Messina

    Elizabeth Messina

    Managing DirectorCRD 2207936

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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ETF holdings

1 of 99

Active vs passive

$2B in ETFs

Passive

100%

$2B

Active

<1%

$9.8M

ETFProviderStyleCategoryValueShares% of portfolio
GOLDMAN SACHS ACCESS TREASURY 0-1 YEAR ETF (GBIL)Goldman SachsPassiveUltrashort Bond$298M2,974,64615.20%

Location

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New York
Address
85 Broad St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth