OPPENHEIMER ASSET MANAGEMENT
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OPPENHEIMER ASSET MANAGEMENT
(CRD# 105559)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Mar 1988.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$13.4 Billion,
with discretion over
70%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
4%
.
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OPPENHEIMER ASSET MANAGEMENT
also reported in
Mar 2019
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118
employees,
all of whom perform advisory functions.
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A total of 2 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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OPPENHEIMER ASSET MANAGEMENT has one or more disclosure events currently on file with the SEC.
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OPPENHEIMER ASSET MANAGEMENT has Notice Filings with the following State Securities Authorities:
AK-Feb 2004, AL-Feb 2004, AR-Feb 2004, AZ-Feb 2004, CA-Mar 2003
, CO-Mar 2003, CT-Sep 2002, DC-Sep 2002, DE-Feb 2004, FL-Sep 2002
, GA-Sep 2002, HI-Feb 2004, IA-Sep 2002, ID-Feb 2004, IL-Apr 2003
, IN-Feb 2004, KS-Feb 2004, KY-Feb 2004, LA-Feb 2004, MA-Sep 2002
, MD-Sep 2002, ME-Feb 2004, MI-Feb 2004, MN-Mar 2004, MO-Mar 2003
, MS-Feb 2004, MT-Mar 2003, NC-Sep 2002, ND-Mar 2019, NE-Feb 2004
, NH-Feb 2004, NJ-Sep 2002, NM-Feb 2004, NV-Mar 2003, NY-Sep 2002
, OH-Feb 2004, OK-Apr 2003, OR-Mar 2003, PA-Sep 2002, PR-Feb 2004
, RI-Feb 2004, SC-Mar 2003, SD-Mar 2019, TN-Feb 2004, TX-Sep 2002
, UT-Mar 2019, VA-Sep 2002, VT-Mar 2003, WA-Mar 2003, WI-Feb 2004
, WV-Mar 2019, WY-Mar 2019
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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