DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

OFI STEELPATH, INC.

CRD 165117

DALLAS, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2436a62d-fe80-eb8e-9cb2-11ceed9524df

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 1
On other graphs: 0
Observed: Aug 7, 2012 to Mar 29, 2019
13 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $11BItem 5.F on the latest filing (2019-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $11B
Private client RAUM: $216MderivedItem 5.D individuals plus high net worth individuals
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19
Advisory employees: 10
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 55
High net worth clients: 42
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $117Mgross asset value as reported per fund; never fund size
Custody, client assets: $117M
SEC number: 801-77030
CRD: 165117
Filings on the tape: 13
First filed: Aug 7, 2012
Latest filed: Mar 29, 2019
Organised: Corporation, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FEINBERG, KRISTIE, MARIE	Treasurer	Na	yes	06/2008	Aug 7, 2012	Mar 29, 2019
LO BESSETTE, CYNTHIA	CHIEF LEGAL OFFICER	Na	yes	02/2016	Mar 30, 2016	Mar 29, 2019
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY	Member	E	yes	11/1984	Mar 28, 2014	Mar 29, 2019
MASSMUTUAL HOLDING LLC	Member	E	yes	11/2011	Mar 28, 2014	Mar 29, 2019
MM ASSET MANAGEMENT HOLDING LLC	Shareholder	E	yes	10/1990	Mar 28, 2013	Mar 29, 2019
OPPENHEIMER ACQUISITION CORPORATION	Shareholder	E	yes	10/1990	Aug 7, 2012	Mar 29, 2019
OPPENHEIMERFUNDS, INC.	DIRECT OWNER	E	yes	11/1989	Aug 7, 2012	Mar 29, 2019
PFEFFER, DAVID, MATTHEW	Director	Na	yes	12/2009	Aug 7, 2012	Mar 29, 2019
PICCIOTTO, MARY, ANN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2014	Mar 28, 2014	Mar 29, 2019
STEINMETZ, ARTHUR, PHILIP	PRESIDENT AND DIRECTOR	Na	yes	10/2009	Dec 3, 2012	Mar 29, 2019
COOK, LISA, ANN	HEAD OF SMA CLIENT SERVICES	Na	no	03/2018	Mar 29, 2018	Mar 29, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
OFI GLOBAL ASSET MANAGEMENT, INC.	n/a	Former SEC adviser	$204B	N	yes	n/a
SEATTLE-NORTHWEST ASSET MANAGEMENT, LLC	n/a	Other adviser	$31B	N	yes	n/a
OFI GLOBAL INSTITUTIONAL, INC.	n/a	Former SEC adviser	$11B	N	yes	n/a
OFI ADVISORS, LLC	n/a	Former SEC adviser	$3.7B	N	yes	n/a
OFI PRIVATE INVESTMENTS INC	n/a	Former SEC adviser	$2.0B	N	yes	n/a
HARBOURVIEW ASSET MANAGEMENT CORPORATION	n/a	Former SEC adviser	$386M	N	yes	n/a
OC PRIVATE CAPITAL, LLC	n/a	Former SEC adviser	$182M	N	yes	n/a
OPPENHEIMERFUNDS INC	n/a	Asset manager	$827,684	Y	no	n/a
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY	n/a	n/a	n/a	Y	no	n/a
OFI GLOBAL TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
OPPENHEIMERFUNDS DISTRIBUTOR, INC.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019	$11B	$11B	19	10	0	1	$117M
2017	Mar 29, 2018	$11B	$11B	19	10	0	1	$201M
2016	Mar 31, 2017	$12B	$12B	18	10	n/a	1	$276M
2015	Mar 30, 2016	$9.5B	$9.4B	19	11	n/a	1	$219M
2014	Mar 31, 2015	$14B	$14B	19	11	n/a	1	$314M
2013	Mar 28, 2014	$9.9B	$9.9B	21	13	n/a	1	$281M
2012	Mar 28, 2013	$3.2B	$3.2B	22	12	n/a	1	$188M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$11B	$11B	1.5%	$9.5B	4.7%	19	19	0	0

Relationships

Affiliated with (13)

← OFI PRIVATE INVESTMENTS INCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ HARBOURVIEW ASSET MANAGEMENT CORPORATIONRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ OPPENHEIMERFUNDS INCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV
→ OFI PRIVATE INVESTMENTS INCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ OFI GLOBAL INSTITUTIONAL, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ OFI ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ INVESCO MANAGED ACCOUNTS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ OFI GLOBAL ASSET MANAGEMENT, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
→ OC PRIVATE CAPITAL, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← OFI GLOBAL INSTITUTIONAL, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← OFI ADVISORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← OFI GLOBAL ASSET MANAGEMENT, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← INDEX MANAGEMENT SOLUTIONS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV

Controls (10)

← STEINMETZ, ARTHUR, PHILIPOwnerPRESIDENT AND DIRECTOR, ownership code NA, individual
Dec 3, 2012 to presentfactForm ADV
← FEINBERG, KRISTIE, MARIEOwnerTREASURER, ownership code NA, individual
Aug 7, 2012 to presentfactForm ADV
← PFEFFER, DAVID, MATTHEWOwnerDIRECTOR, ownership code NA, individual
Aug 7, 2012 to presentfactForm ADV
← PICCIOTTO, MARY, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2014 to presentfactForm ADV
← LO BESSETTE, CYNTHIAOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYOwnerMEMBER, ownership code E, domestic entity
Mar 28, 2014 to presentfactForm ADV
← MASSMUTUAL HOLDING LLCOwnerMEMBER, ownership code E, domestic entity
Mar 28, 2014 to presentfactForm ADV
← MM ASSET MANAGEMENT HOLDING LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 28, 2013 to presentfactForm ADV
← OPPENHEIMER ACQUISITION CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Aug 7, 2012 to presentfactForm ADV
← OPPENHEIMERFUNDS, INC.OwnerDIRECT OWNER, ownership code E, domestic entity
Aug 7, 2012 to presentfactForm ADV

Owns (1)

← COOK, LISA, ANNOwnerHEAD OF SMA CLIENT SERVICES, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV

Dated events

Occurred
Aug 7, 2012
First Form ADV filing
Shareholder Financial Services, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2436a62d-fe80-eb8e-9cb2-11ceed9524df
First observed: Aug 7, 2012
Last observed: Mar 29, 2019 91 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

OFI STEELPATH, INC.

CRD 165117

DALLAS, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2436a62d-fe80-eb8e-9cb2-11ceed9524df

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:01 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FEINBERG, KRISTIE, MARIE

Treasurer

yes

06/2008

Aug 7, 2012

Mar 29, 2019

LO BESSETTE, CYNTHIA

CHIEF LEGAL OFFICER

yes

02/2016

Mar 30, 2016

Mar 29, 2019

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

Member

yes

11/1984

Mar 28, 2014

Mar 29, 2019

MASSMUTUAL HOLDING LLC

Member

yes

11/2011

Mar 28, 2014

Mar 29, 2019

MM ASSET MANAGEMENT HOLDING LLC

Shareholder

yes

10/1990

Mar 28, 2013

Mar 29, 2019

OPPENHEIMER ACQUISITION CORPORATION

Shareholder

yes

10/1990

Aug 7, 2012

Mar 29, 2019

OPPENHEIMERFUNDS, INC.

DIRECT OWNER

yes

11/1989

Aug 7, 2012

Mar 29, 2019

PFEFFER, DAVID, MATTHEW

Director

yes

12/2009

Aug 7, 2012

Mar 29, 2019

PICCIOTTO, MARY, ANN

CHIEF COMPLIANCE OFFICER

yes

03/2014

Mar 28, 2014

Mar 29, 2019

STEINMETZ, ARTHUR, PHILIP

PRESIDENT AND DIRECTOR

yes

10/2009

Dec 3, 2012

Mar 29, 2019

COOK, LISA, ANN

HEAD OF SMA CLIENT SERVICES

03/2018

Mar 29, 2018

Mar 29, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

OFI GLOBAL ASSET MANAGEMENT, INC.

n/a

Former SEC adviser

$204B

yes

n/a

SEATTLE-NORTHWEST ASSET MANAGEMENT, LLC

n/a

Other adviser

$31B

yes

n/a

OFI GLOBAL INSTITUTIONAL, INC.

n/a

Former SEC adviser

$11B

yes

n/a

OFI ADVISORS, LLC

n/a

Former SEC adviser

$3.7B

yes

n/a

OFI PRIVATE INVESTMENTS INC

n/a

Former SEC adviser

$2.0B

yes

n/a

HARBOURVIEW ASSET MANAGEMENT CORPORATION

n/a

Former SEC adviser

$386M

yes

n/a

OC PRIVATE CAPITAL, LLC

n/a

Former SEC adviser

$182M

yes

n/a

OPPENHEIMERFUNDS INC

n/a

Asset manager

$827,684

n/a

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

n/a

OFI GLOBAL TRUST COMPANY

n/a

yes

n/a

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 29, 2019

$11B

$117M

2017

Mar 29, 2018

$11B

$201M

2016

Mar 31, 2017

$12B

n/a

$276M

2015

Mar 30, 2016

$9.5B

$9.4B

n/a

$219M

2014

Mar 31, 2015

$14B

n/a

$314M

2013

Mar 28, 2014

$9.9B

n/a

$281M

2012

Mar 28, 2013

$3.2B

n/a

$188M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$11B

1.5%

$9.5B

4.7%