Data / Investment advisers / New York / Oppenheimer Asset Management
Oppenheimer Asset Management, New York, NY: $21.3 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Oppenheimer Asset Management is an SEC registered investment adviser with its main office in New York, New York and reports $21.3 billion in regulatory assets under management in its Form ADV filed September 30, 2026. Its clients include individuals, high net worth individuals and corporations and other businesses. It is paid through a percentage of assets under management and fixed fees. It advises 3 private funds.
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- Registration
- SEC registered investment adviser
- CRD number
- 105559
- SEC file number
- 801-31427
- SEC status
- Approved, effective March 17, 1988
- Legal name
- Oppenheimer Asset Management Inc.
- Main office
- 85 Broad Street, New York, NY 10004
- Phone
- (212) 668-8000
- Website
- oppenheimer.com
- Regulatory AUM
- $21,327,096,828 in the Form ADV filed September 30, 2026
- Discretionary AUM
- $16,327,399,946
- Non discretionary AUM
- $4,999,696,882
- Accounts
- 43,537
- Employees
- 129, of which 129 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, fixed fees
- Private funds
- 3: 2 private equity funds, 1 hedge fund
- Gross assets of private funds
- $82,615,296
- Other offices
- 2
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions, other federal, state or foreign regulatory actions, self-regulatory organization actions, other Item 11 matters
- Latest Form ADV filing
- September 30, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 39,766 | $13.12 billion |
| High net worth individuals | 2,034 | $4.35 billion |
| Corporations or other businesses | 765 | $1.60 billion |
| Charitable organizations | 252 | $759.7 million |
| Pension and profit sharing plans | 470 | $400.9 million |
| Pooled investment vehicles | 3 | $82.6 million |
| State or municipal government entities | 6 | $7 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $21.33 billion | March 19, 2026 |
| December 1, 2025 | $19.97 billion | October 16, 2025 |
Other advisers in New York
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| CBRE Investment Management | New York | $22.84 billion | 17 | adviserinfo.sec.gov |
| CVC Secondary Partners (U.S.), LLC | New York | $22.19 billion | 22 | adviserinfo.sec.gov |
| Waterfall Asset Management, LLC | New York | $22.04 billion | 31 | adviserinfo.sec.gov |
| Davis Selected Advisers, Ny, Inc. | New York | $21.98 billion | Not listed | adviserinfo.sec.gov |
| Ehrenkranz Partners L.P. | New York | $21.54 billion | 51 | adviserinfo.sec.gov |
| MSD Partners, L.P. | New York | $21.30 billion | 53 | adviserinfo.sec.gov |
| Cerity Partners Ocio LLC | New York | $21.13 billion | 1 | adviserinfo.sec.gov |
| Park Square Capital USA LP | New York | $21.11 billion | 36 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New York, NY
- Investment advisers in New York
- Advisers with $10 billion to $100 billion in AUM
- Advisers serving individuals
- Advisers serving high net worth individuals
- Advisers that manage private funds
- Oppenheimer Asset Management on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.