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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

INDEX MANAGEMENT SOLUTIONS, LLC

CRD 152541

PHILADELPHIA, PA

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:8b7094c9-0699-e889-6292-9316851bb88b

Data as of Dec 3, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Dec 3, 2015
6 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: $23.5MItem 5.F on the latest filing (2015-12-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $17.6M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Accounts: 5
SEC number: 801-70930
CRD: 152541
Filings on the tape: 6
First filed: Mar 30, 2012
Latest filed: Dec 3, 2015
Organised: Limited Liability Company, Pennsylvania

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	12/2015	Dec 3, 2015	Dec 3, 2015
GABINET, ARTHUR, SANFORD	CHIEF LEGAL OFFICER	Na	yes	12/2015	Dec 3, 2015	Dec 3, 2015
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY	Member	E	yes	11/1984	Dec 3, 2015	Dec 3, 2015
MASSMUTUAL HOLDING LLC	Member	E	yes	11/2011	Dec 3, 2015	Dec 3, 2015
MM ASSET MANAGEMENT HOLDING LLC	Shareholder	E	yes	10/1990	Dec 3, 2015	Dec 3, 2015
OPPENHEIMER ACQUISITION CORPORATION	Shareholder	E	yes	10/1990	Dec 3, 2015	Dec 3, 2015
OPPENHEIMERFUNDS, INC.	DIRECT OWNER	E	yes	12/2015	Dec 3, 2015	Dec 3, 2015
PFEFFER, DAVID, MATTHEW	DIRECTOR AND CHIEF FINANCIAL OFFICER	Na	yes	12/2015	Dec 3, 2015	Dec 3, 2015
PICCIOTTO, MARY, ANN	CHIEF COMPLIANCE OFFICER	Na	yes	12/2015	Dec 3, 2015	Dec 3, 2015
STEINMETZ, ARTHUR, PHILIP	PRESIDENT AND DIRECTOR	Na	yes	12/2015	Dec 3, 2015	Dec 3, 2015

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
MML INVESTMENT ADVISERS, LLC	n/a	Asset manager	$25B	N	yes	n/a
OFI STEELPATH, INC.	n/a	Former SEC adviser	$11B	N	yes	n/a
OFI GLOBAL INSTITUTIONAL, INC.	n/a	Former SEC adviser	$11B	N	yes	n/a
VTL ASSOCIATES, LLC	n/a	Former SEC adviser	$3.7B	Y	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
OPPENHEIMERFUNDS INC	n/a	Asset manager	$827,684	Y	yes	n/a
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY	n/a	n/a	n/a	Y	yes	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
2014	Mar 31, 2015	$1.8B	$1.8B	3	3	n/a	n/a	n/a
2013	Mar 31, 2014	$1.8B	$1.8B	3	3	n/a	n/a	n/a
2012	Apr 1, 2013	$1.1B	$1.1B	3	3	n/a	n/a	n/a
2011	Mar 30, 2012	$849M	$849M	n/a	n/a	n/a	n/a	n/a

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
2014	$23.5M	$1.8B	-98.7%	$849M	-69.8%	3	3	n/a	n/a

Relationships

Affiliated with (8)

→ HARBOURVIEW ASSET MANAGEMENT CORPORATIONRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ OPPENHEIMERFUNDS INCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common 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, control, common control
factForm ADV
→ OFI GLOBAL ASSET MANAGEMENT, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
→ OFI STEELPATH, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
→ MML INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV

Controls (10)

← STEINMETZ, ARTHUR, PHILIPOwnerPRESIDENT AND DIRECTOR, ownership code NA, individual
Dec 3, 2015 to presentfactForm ADV
← FEINBERG, KRISTIE, MARIEOwnerTREASURER, ownership code NA, individual
Dec 3, 2015 to presentfactForm ADV
← PFEFFER, DAVID, MATTHEWOwnerDIRECTOR AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Dec 3, 2015 to presentfactForm ADV
← PICCIOTTO, MARY, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 3, 2015 to presentfactForm ADV
← GABINET, ARTHUR, SANFORDOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Dec 3, 2015 to presentfactForm ADV
← MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYOwnerMEMBER, ownership code E, domestic entity
Dec 3, 2015 to presentfactForm ADV
← MASSMUTUAL HOLDING LLCOwnerMEMBER, ownership code E, domestic entity
Dec 3, 2015 to presentfactForm ADV
← MM ASSET MANAGEMENT HOLDING LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Dec 3, 2015 to presentfactForm ADV
← OPPENHEIMER ACQUISITION CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Dec 3, 2015 to presentfactForm ADV
← OPPENHEIMERFUNDS, INC.OwnerDIRECT OWNER, ownership code E, domestic entity
Dec 3, 2015 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8b7094c9-0699-e889-6292-9316851bb88b
First observed: Mar 30, 2012
Last observed: Dec 3, 2015 131 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.

INDEX MANAGEMENT SOLUTIONS, LLC

CRD 152541

PHILADELPHIA, PA

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:8b7094c9-0699-e889-6292-9316851bb88b

Data as of Dec 3, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:19 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FEINBERG, KRISTIE, MARIE

Treasurer

yes

12/2015

Dec 3, 2015

GABINET, ARTHUR, SANFORD

CHIEF LEGAL OFFICER

yes

12/2015

Dec 3, 2015

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

Member

yes

11/1984

Dec 3, 2015

MASSMUTUAL HOLDING LLC

Member

yes

11/2011

Dec 3, 2015

MM ASSET MANAGEMENT HOLDING LLC

Shareholder

yes

10/1990

Dec 3, 2015

OPPENHEIMER ACQUISITION CORPORATION

Shareholder

yes

10/1990

Dec 3, 2015

OPPENHEIMERFUNDS, INC.

DIRECT OWNER

yes

12/2015

Dec 3, 2015

PFEFFER, DAVID, MATTHEW

DIRECTOR AND CHIEF FINANCIAL OFFICER

yes

12/2015

Dec 3, 2015

PICCIOTTO, MARY, ANN

CHIEF COMPLIANCE OFFICER

yes

12/2015

Dec 3, 2015

STEINMETZ, ARTHUR, PHILIP

PRESIDENT AND DIRECTOR

yes

12/2015

Dec 3, 2015

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

MML INVESTMENT ADVISERS, LLC

n/a

Asset manager

$25B

yes

n/a

OFI STEELPATH, INC.

n/a

Former SEC adviser

$11B

yes

n/a

OFI GLOBAL INSTITUTIONAL, INC.

n/a

Former SEC adviser

$11B

yes

n/a

VTL ASSOCIATES, 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

OPPENHEIMERFUNDS INC

n/a

Asset manager

$827,684

yes

n/a

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

n/a

yes

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

2014

Mar 31, 2015

$1.8B

n/a

2013

Mar 31, 2014

$1.8B

n/a

2012

Apr 1, 2013

$1.1B

n/a

2011

Mar 30, 2012

$849M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$23.5M

$1.8B

-98.7%

$849M

-69.8%

n/a