Oppenheimer Asset Management

Business, clients and compensation, as filed

Advisory activities

portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, selection of other advisers and publication of periodicals or newsletters

Compensated by

a percentage of assets under management and fixed fees

Client types

individuals (other than high net worth) (39,766); high net worth individuals (2,034); banking or thrift institutions (0); investment companies (0); business development companies (0); pooled investment vehicles (3); pension and profit sharing plans (470); charitable organizations (252); state or municipal government entities (6); other investment advisers (0); insurance companies (0); sovereign wealth funds and foreign official institutions (0); corporations or other businesses (765); other (241)

Related persons include

a broker-dealer, another investment adviser, a commodity pool operator or commodity trading advisor, a trust company, an insurance company or agency, a pension consultant and a sponsor, general partner or managing member of pooled investment vehicles

Affiliates

3 broker-dealers, 4 investment advisers

Wrap fee program

Sponsors or manages a wrap fee program

Form ADV Item 11 disclosures

The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.

• SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2))
• SEC or CFTC order against the firm or an affiliate (Item 11C(4))
• SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5))
• other regulator finding of a violation (Item 11D(2))
• other regulator order, denial, suspension or revocation (Item 11D(4))
• self-regulatory organization finding of a false statement (Item 11E(1))
• self-regulatory organization finding of a violation (Item 11E(2), 3 reported)
• unsatisfied judgment or lien (Item 11G)

Form D activity of the funds this firm advises, by year

3 issuers in AltStreet's EDGAR ledger are joined to this adviser through Form ADV Schedule D, with Form D filings from September 19, 2024 to October 6, 2026. 2 offerings are still raising on the latest filing. Reported sold across them: $253.2M.Years are the year of each offering's first notice; sold and investors are the latest figures on each chain. Counts and totals only; the fund roster is in the terminal.