Oppenheimer Asset Management

RIASEC Registered

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
Website: www.oppenheimer.com
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 corporation that acts as an SEC-registered investment adviser (registration year 1988). The firm manages a mix of strategies — operating hedge fund and private equity sleeves while providing broad portfolio-management services for individuals, pooled vehicles and institutional clients. Its business model includes selecting other advisers and publishing periodic research or newsletters. Clients are a mix of individuals and families plus institutional investors; the firm charges both percentage-of-AUM and fixed fees. Oppenheimer maintains multiple industry affiliations (including a broker‑dealer relationship and roles as sponsor/GP of pooled vehicles) and is not positioned as a pure capital allocator or an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

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
President and Chief Executive OfficerCRD 1639913
Brian Roth
Chief Compliance OfficerCRD 1424322
Brad Watkins
Executive Vice President, Chief Financial OfficerCRD 6319251

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Contacts

3 of 9

Maurice Stuffmann
Financial Advisor, Managing Director - InvestmentsCRD 439058
Leo Dierckman
Managing Director & Portfolio ManagerCRD 4825963
Elizabeth Messina
Managing DirectorCRD 2207936

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 99

Active vs passive

$2B in ETFs

Passive

100%

$2B

Active

<1%

$9.8M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
GOLDMAN SACHS ACCESS TREASURY 0-1 YEAR ETF (GBIL)	Goldman Sachs	Passive	Ultrashort Bond	$298M	2,974,646	15.20%

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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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