O'SHAUGHNESSY ASSET MANAGEMENT, LLC
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O'SHAUGHNESSY ASSET MANAGEMENT, LLC
(CRD# 144594)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Stamford, CT.
The SEC approved the firm to operate as an RIA in
Jul 2007.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$5.1 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
41%
of RAUM.
Non-US investors represent
45%
.
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O'SHAUGHNESSY ASSET MANAGEMENT, LLC
also reported in
Mar 2019
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32
employees,
with
18
performing advisory functions.
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A total of 2 office locations.
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Registration with one or more 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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O'SHAUGHNESSY ASSET MANAGEMENT, LLC has no disclosure events reported to the SEC at this time.
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O'SHAUGHNESSY ASSET MANAGEMENT, LLC has Notice Filings with the following State Securities Authorities:
AK-Feb 2008, AL-Feb 2008, AR-Feb 2008, AZ-Feb 2008, CA-Feb 2008
, CO-Feb 2008, CT-Oct 2007, DC-Feb 2008, DE-Feb 2008, FL-Feb 2008
, GA-Feb 2008, HI-Feb 2008, IA-Feb 2008, ID-Feb 2008, IL-Mar 2008
, IN-Feb 2008, KS-Feb 2008, KY-Feb 2008, LA-Feb 2008, MA-Feb 2008
, MD-Feb 2008, ME-Feb 2008, MI-Feb 2008, MN-Feb 2008, MO-Feb 2008
, MS-Feb 2008, MT-Feb 2008, NC-Feb 2008, ND-Feb 2008, NE-Feb 2008
, NH-Feb 2008, NJ-Mar 2008, NM-Feb 2008, NV-Feb 2008, NY-Feb 2008
, OH-Feb 2008, OK-Feb 2008, OR-Feb 2008, PA-Feb 2008, PR-May 2016
, RI-Feb 2008, SC-Feb 2008, SD-Feb 2008, TN-Feb 2008, TX-Feb 2008
, UT-Feb 2008, VA-Feb 2008, VI-May 2016, VT-Feb 2008, WA-Feb 2008
, WI-Feb 2008, WV-Feb 2008
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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
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SEC. Feel free to contact
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