OBERWEIS ASSET MANAGEMENT INC
Adviser information for OBERWEIS ASSET MANAGEMENT INC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Illinois, United States |
Employees
| Total Number of Employees | 32 |
|---|---|
| Investment Advisory/Research | 16 |
| Registered Broker-Dealer Representatives | 15 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 120 | $3.0B |
| Non-Discretionary | 1 | $526,955 |
| Total | 121 | $3.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 32 | $10.6M |
| HNW Individuals | 44 | $64.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 7 | $1.5B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $36.8M |
| Pension and profit sharing plans | <5 | $182.1M |
| Charitable organizations | <5 | $23.8M |
| State or municipal gov entities | 6 | $1.0B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 10 | $178.4M |
| Other | 17 | $464,640 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 2 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPROVIDE MODEL PORTFOLIO DATA TO CLIENTS |
Principal Office
3333 WARRENVILLE ROADSUITE 500
LISLE
IL
United States
Monday - Friday, 8:00 AM-4:30 PM CST.
Tel: 630-577-2300, Fax: 630-245-0410
Chief Compliance Officer
THOMAS P. JOYCE
3333 WARRENVILLE ROAD
SUITE 500
LISLE
IL
United States
Tel:
630-577-2326
Fax:
630-245-0410
T********@***********T
(Full email address available in API data)
Industry Affiliates
| OBERWEIS ASSET MANAGEMENT (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| OBERWEIS ASSET MANAGEMENT UK LIMITED | Other investment adviser, including financial planners |
| OBERWEIS SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| OBERWEIS INTERNATIONAL SELECT FUND, LLC | LIMITED PARTNERSHIP | $36.8M | $5.0M | 17 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OBERWEIS, JAMES, DONALD | Individual | – | SHAREHOLDER | 09/1994 | 10-25% |
| OBERWEIS, JAMES, WALTER | Individual | – | CHAIRMAN, PRESIDENT, SHAREHOLDER AND DIRECTOR | 11/1994 | 50-75% |
| JOYCE, THOMAS, PATRICK | Individual | – | CHIEF COMPLIANCE OFFICER, SECRETARY | 09/2022 | < 5% |
| HANNEMANN, ERIC, VICARY | Individual | – | CHIEF FINANCIAL OFFICER, TREASURER | 09/2022 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
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| First Merchants Corporation | COM | 4M | 123K | – |
| FirstCash Holdings, Inc | COM | 9M | 82K | – |
| Flowserve Corporation | COM | 18M | 370K | – |
| Formfactor Inc. | COM | 19M | 306K | – |
| Frontdoor, Inc. | COM | 10M | 296K | – |
| Genedx Holdings Corp. | COM | 3M | 122K | – |
| Gentherm, Inc. | COM | 5M | 92K | – |
| Gibraltar Inds | COM | 6M | 88K | – |
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| Haemonetics Corp. | COM | 14M | 165K | – |
| Hawkins, Inc. | COM | 4M | 44K | – |
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| Helix Energy Solutions Group, | COM | 5M | 408K | – |
| Hims & Hers Health, Inc. | COM | 16M | 785K | – |
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| ICF International, Inc. | COM | 17M | 112K | – |
| Imax Corp. | COM | 6M | 376K | – |
| Informatica Corp. | COM | 12M | 380K | – |
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| Integer Holdings Corporation | COM | 14M | 119K | – |
| International Seaways, Inc. | COM | 9M | 152K | – |
| Itron Inc | COM | 15M | 152K | – |
| JP Morgan Chase & Company Inc. | COM | 770K | 4K | – |
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| LeMaitre Vascular, Inc. | COM | 8M | 101K | – |
| Liberty Energy, Inc. | COM | 6M | 281K | – |
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| Liquidia Corp. | COM | 2M | 183K | – |
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| Liveramp Hldgs, Inc. | COM | 16M | 513K | – |
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| MSA Safety Inc | COM | 10M | 51K | – |
| Magnite, Inc. | COM | 3M | 200K | – |
| Magnolia Oil & Gas Corp. | COM | 7M | 264K | – |
| MakeMyTrip Ltd. | COM | 1M | 17K | – |
| Mannkind Corp. | COM | 4M | 799K | – |
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| Matrix Service Co. | COM | 2M | 211K | – |
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| OneSpan, Inc. | COM | 5M | 371K | – |
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| Oscar Health, Inc. | COM | 6M | 408K | – |
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| Primoris Services Corp. | COM | 10M | 210K | – |
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