OPPENHEIMER ALTERNATIVE INVESTMENT MANAGEMENT, LLC
Adviser information for OPPENHEIMER ALTERNATIVE INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 22nd, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 0 |
| 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 | 6 | $116.3M |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $116.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 6 | $116.3M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-66692 |
|---|---|
| SEC ERA File Number | 801-66692 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 140485 |
| Legal Entity Identifier | None |
Principal Office
85 BROAD STREET, 24TH FLOORNEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 212-668-8000, Fax: None
Chief Compliance Officer
BRIAN ROTH
EXECUTIVE DIRECTOR
85 BROAD STREET
24TH FLOOR
NEW YORK
NY
United States
Tel:
212-667-4711
B*********@*******M
(Full email address available in API data)
Regulatory Contact
DEBORAH KABACK
MANAGING DIRECTOR
85 BROAD STREET
25TH FLOOR
NEW YORK
NY
United States
Tel:
212-667-4395
D*************@*******M
(Full email address available in API data)
Industry Affiliates
| ADVANTAGE ADVISERS MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ADVANTAGE ADVISERS MULTI-MANAGER, L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| FREEDOM INVESTMENTS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| OPCO ACTIVIST LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| OPPENHEIMER & CO. INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersPension consultantSponsor, GP, manager of pooled investment vehicles |
| OPPENHEIMER ASSET MANAGEMENT | Other investment adviser, including financial planners |
| OPPENHEIMER EUROPE LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| OPPENHEIMER INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial planners |
| OPPENHEIMER INVESTMENTS ASIA LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| OPPENHEIMER ISRAEL (OPCO) LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| OPPENHEIMER LIFE AGENCY, LTD. | Insurance company or agency |
| OPPENHEIMER TRUST COMPANY INC. | Trust company |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| OPPENHEIMER GLOBAL RESOURCE PRIVATE EQUITY FUND I, L.P. | Private Equity Fund | $19.7M | $0.5M | 106 |
| OPPENHEIMER GLOBAL RESOURCE PRIVATE EQUITY OFFSHORE FUND I, L.P. | Private Equity Fund | $9.9M | $0.5M | 20 |
| PRIVATE MARKET OPPORTUNITY - VISTA FUND I, LLC | FUND INVESTING IN ONE UNDERLYING FUND THAT MAKES A PRIVATE EQUITY INVESTMENT | $26.9M | $0.3M | 284 |
| PRIVATE MARKET OPPORTUNITY - VISTA FUND II, LLC | FUND INVESTING IN ONE UNDERLYING FUND THAT MAKES A PRIVATE EQUITY INVESTMENT | $14.3M | $0.1M | 175 |
| PRIVATE MARKET OPPORTUNITY - VISTA FUND III, LLC | Private Equity Fund | $19.7M | $0.1M | 154 |
| PRIVATE MARKET OPPORTUNITY - VISTA FUND V, LLC | Private Equity Fund | $25.8M | $0.1M | 161 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCNAMARA, DENNIS, PATRICK | Individual | – | SECRETARY | 04/2006 | < 5% |
| KABACK, DEBORAH | Individual | – | SENIOR VICE PRESIDENT | 04/2006 | < 5% |
| OPPENHEIMER ASSET MANAGEMENT INC. | Domestic Entity | – | DIRECT OWNER | 04/2006 | > 75% |
| E.A. VINER INTERNATIONAL CO. | Domestic Entity | OPPENHEIMER ASSET MANAGEMENT INC. | 100% OWNER | 04/2006 | > 75% |
| OPPENHEIMER HOLDINGS INC. | Domestic Entity | E.A. VINER INTERNATIONAL CO. | 100% OWNER | 04/2006 | > 75% |
| MCKIGNEY, BRYAN, EDWARD | Individual | – | PRESIDENT | 04/2015 | < 5% |
| SIEGEL, DOUGLAS, THORNLEY | Individual | – | GLOBAL COMPLIANCE OFFICER | 02/2016 | < 5% |
| ROTH, BRIAN, ALAN | Individual | – | CCO-IA | 08/2020 | < 5% |
| Watkins, Brad, Michael | Individual | – | SENIOR VICE PRESIDENT - CFO | 08/2022 | < 5% |
| LOWENTHAL, ROBERT, STEVEN | Individual | – | SENIOR VICE PRESIDENT | 01/2021 | < 5% |