Hedge Fund Database

OPPENHEIMER & CO. INC.

Adviser information for OPPENHEIMER & CO. INC. last updated from Form ADV on March 19th, 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 New York, United States

Employees

Total Number of Employees 2812
Investment Advisory/Research 1126
Registered Broker-Dealer Representatives 1756
Registered State Investment Advisers 1126
Licensed Agents of an Insurance Company 720
No. of Firms/People that Solicit Clients 230

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 18,159 $10.6B
Non-Discretionary 16,334 $16.8B
Total 34,493 $27.5B

Clients

Type Number RAUM
Individuals 31,917 $12.9B
HNW Individuals 786 $3.9B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 1 $13.9M
Pension and profit sharing plans 339 $452.4M
Charitable organizations 143 $332.2M
State or municipal gov entities <5 $4.2M
Other investment advisers 0 $0
Insurance companies 13 $11.6M
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 281 $1.6B
Other 1,011 $8.1B
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 3500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMFixed feesCommissionsPerformance-based fees
Other Business Activities Broker-dealerInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 19.7B
Portfolio Manager to Program Sponsor
OMEGA OPPENHEIMER & CO. INC.
FAM FEE ONLY OPPENHEIMER & CO. INC.
ALPHA FEE ONLY OPPENHEIMER & CO. INC.
PREFERENCE OPPENHEIMER & CO. INC.
PAS DIRECTED OPPENHEIMER & CO. INC.
ADVANTAGE ADVISORY OPPENHEIMER & CO. INC.
UMA DIRECTED OPPENHEIMER & CO. INC.

Identifiers

SEC RIA File Number 801-887
SEC ERA File Number 801-887
SEC CIK Numbers None
SEC CRD Numbers 249
Legal Entity Identifier None

Principal Office

85 BROAD STREET
22ND FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00A.M. TO 5:00P.M.
Tel: 212-668-8000, Fax: None

Websites

www.oppenheimer.com

Chief Compliance Officer

BRIAN ROTH
EXECUTIVE DIRECTOR
85 BROAD STREET, 24TH FLOOR
NEW YORK
NY
United States
Tel: (212) 667-4711
(Full email address available in API data)

Regulatory Contact

DEBORAH KABACK
CHIEF LEGAL OFFICER, MANAGING DIRECTOR
85 BROAD STREET, 25TH FLOOR
NEW YORK
NY
United States
Tel: (212) 667-4395
(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 ALTERNATIVE INVESTMENT MANAGEMENT, LLC Other investment adviser, including financial plannersSponsor, 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 ACTIVIST PARTNERS LP Hedge Fund $13.9M $0.1M 21

Control Persons

Name Type Entity Title Since Ownership
VINER FINANCE INC. Domestic Entity – PARENT CO. 10/1983 > 75%
LOWENTHAL, ALBERT GRINSFELDER Individual – CHMN/DIR/CEO - OWNS 100% OF PHASE II FIN'L 10/1985 < 5%
PHASE II FINANCIAL INC. Foreign Entity OPPENHEIMER HOLDINGS OWNS CLASS B VOTING STOCK OF OPPENHEIMER HOLDINGS. 10/1985 > 75%
LOWENTHAL, ALBERT GRINSFELDER Individual PHASE II FINANCIAL INC. OWNS 100% 10/1985 > 75%
MCNAMARA, DENNIS PATRICK Individual – E.V.P./CLO/SECRETARY 01/2006 < 5%
BENEDETTO, JOHN ANTHONY Individual – DIRECTOR 04/2014 < 5%
OPPENHEIMER HOLDINGS INC. Domestic Entity E.A. VINER INTERNATIONAL CO. COMMON STOCK 10/1983 > 75%
E.A. VINER INTERNATIONAL CO. Domestic Entity VINER FINANCE INC. HOLDING CO. 10/1983 > 75%
MCGUIRE, JOHN THOMAS Individual – MANAGING DIRECTOR/DEPUTY GENERAL COUNSEL- DIRECTOR OF LITIGATION 01/2007 < 5%
SIEGEL, DOUGLAS THORNLEY Individual – CHIEF COMPLIANCE OFFICER 02/2016 < 5%
LOWENTHAL, ROBERT STEVEN Individual – DIRECTOR/PRESIDENT 04/2018 < 5%
HARRINGTON, EDWARD PATRICK Individual – EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES 02/2019 < 5%
MOLOKIE JR, LEON E Individual – EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER 04/2020 < 5%
WATKINS, BRAD MICHAEL Individual – EXECUTIVE VICE PRESIDENT-CFO 08/2022 < 5%

No. Employees, Historic

3,0001,500020192020202120222023202420252868 on 6/21/20192868 on 8/23/20192868 on 10/11/20192868 on 1/10/20202850 on 3/10/20202850 on 4/9/20202850 on 6/25/20202850 on 8/5/20202850 on 8/6/20202850 on 12/10/20202850 on 12/10/20202850 on 2/23/20212850 on 3/4/20212788 on 3/24/20212788 on 3/25/20212788 on 3/25/20212788 on 5/12/20212788 on 6/30/20212788 on 8/12/20212788 on 8/16/20212788 on 8/19/20212788 on 8/19/20212788 on 9/2/20212788 on 11/1/20212788 on 12/1/20212788 on 3/9/20222806 on 3/18/20222806 on 6/7/20222806 on 7/25/20222806 on 8/15/20222806 on 9/1/20222806 on 9/1/20222806 on 9/22/20222806 on 9/23/20222806 on 10/24/20222806 on 11/4/20222806 on 12/9/20222784 on 3/21/20232784 on 4/20/20232784 on 7/3/20232784 on 8/15/20232784 on 9/6/20232784 on 10/2/20232784 on 12/13/20232784 on 1/8/20242784 on 2/14/20242812 on 3/19/2024

RAUM, Historic

30B15B0201920202021202220232024202510613813009 on 6/21/201910613813009 on 8/23/201910613813009 on 10/11/201910613813009 on 1/10/202018944299787 on 3/10/202018944299787 on 4/9/202018944299787 on 6/25/202018944299787 on 8/5/202018944299787 on 8/6/202018944299787 on 12/10/202018944299787 on 12/10/202018944299787 on 2/23/202118944299787 on 3/4/202122727021353 on 3/24/202122727021353 on 3/25/202122727021353 on 3/25/202122727021353 on 5/12/202122727021353 on 6/30/202122727021353 on 8/12/202122727021353 on 8/16/202122727021353 on 8/19/202122727021353 on 8/19/202122727021353 on 9/2/202122727021353 on 11/1/202122727021353 on 12/1/202122727021353 on 3/9/202227024228664 on 3/18/202227024228664 on 6/7/202227024228664 on 7/25/202227024228664 on 8/15/202227024228664 on 9/1/202227024228664 on 9/1/202227024228664 on 9/22/202227024228664 on 9/23/202227024228664 on 10/24/202227024228664 on 11/4/202227024228664 on 12/9/202222650951893 on 3/21/202322650951893 on 4/20/202322650951893 on 7/3/202322650951893 on 8/15/202322650951893 on 9/6/202322650951893 on 10/2/202322650951893 on 12/13/202322650951893 on 1/8/202422650951893 on 2/14/202427451266086 on 3/19/2024

No. Clients, Historic

40,00020,0000201920202021202220232024202523088 on 6/21/201923088 on 8/23/201923088 on 10/11/201923088 on 1/10/202024783 on 3/10/202024783 on 4/9/202024783 on 6/25/202024783 on 8/5/202024783 on 8/6/202024783 on 12/10/202024783 on 12/10/202024783 on 2/23/202124783 on 3/4/202127780 on 3/24/202127780 on 3/25/202127780 on 3/25/202127780 on 5/12/202127780 on 6/30/202127780 on 8/12/202127780 on 8/16/202127780 on 8/19/202127780 on 8/19/202127780 on 9/2/202127780 on 11/1/202127780 on 12/1/202127780 on 3/9/202230576 on 3/18/202230576 on 6/7/202230576 on 7/25/202230576 on 8/15/202230576 on 9/1/202230576 on 9/1/202230576 on 9/22/202230576 on 9/23/202230576 on 10/24/202230576 on 11/4/202230576 on 12/9/202232333 on 3/21/202332333 on 4/20/202332333 on 7/3/202332333 on 8/15/202332333 on 9/6/202332333 on 10/2/202332333 on 12/13/202332333 on 1/8/202432333 on 2/14/202434493 on 3/19/2024