DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Oppenheimer Asset Management
Legal name Oppenheimer Asset Management Inc.
Latest filing Sep 1, 2026
First filing on the tape Mar 27, 2012 · 69 filings
SEC status approved since Mar 17, 1988
RAUM
$21B
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
82%
$17B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$4.3B
derived; firm RAUM over IAPD count
Employees
129
129 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
69 filings and snapshots on the tape
RAUM$21B as of Jul 1, 2026
Mar 27, 2012$9.1B then
HNW client RAUM$4.4B as of Jul 1, 2026
Mar 23, 2018$2.8B then
State-registered IARs (5.B.3)35 as of Jul 1, 2026
Mar 20, 20137 then
Employees (5.A)129 as of Jul 1, 2026
Mar 20, 2013115 then
Private funds3 as of Jul 1, 2026
Mar 19, 20263 then
RAUM +6.8% over the last fiscal year+9.5% a year over threeIARs 35 to 35
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $4.3BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8,360derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $489,861derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 5.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 25.8derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, publicationsreportedItem 5.G
- Wrap fee program
- $21BreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$13B65%
- High-net-worth individuals$4.4B21%
- Corporations and businesses$1.6B7.9%
- Charitable organizations$760M3.7%
- Pension and profit-sharing plans$401M2.0%
- Pooled investment vehicles$82.6M0.4%
- State and municipal entities$7.0M0.0%
- Individual clients
- 39,766reported
- HNW clients
- 2,034reported
- Pension plan clients
- 470reported
- Charitable clients
- 252reported
- Accounts
- 43,537reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $1.2B sponsored, $58.1M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=true bd_reps=53.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Peter Michael Cadaret | New York, Ny | Aug 18, 2005 | 29 y | 1 |
| Leo John Dierckman | Carmel, In | Jan 11, 2007 | 21 y | 2 |
| Michael Dewayne RichmanChartered Financial Analyst | Carmel, In | Jan 11, 2007 | 33 y | 1 |
| Maurice Gordon Stuffmann | Payson, Az | Feb 1, 2011 | 44 y | 2 |
| Elizabeth Cicolello Messina | New York, Ny | May 28, 2013 | 24 y | 4 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- Maurice Gordon Stuffmann to Oppenheimer & Co. Inc.Dec 31, 2025 · Other
- Jeffrey Alan Sutton to Citigroup Global Markets Inc.May 8, 2020 · Affiliated broker-dealer or bank to another
- Edward Patrick Harrington to Oppenheimer & Co. Inc.Jan 8, 2020 · RIA to affiliated broker-dealer or bank
- Bryan David Franco to Cig Asset Management, Inc.Feb 18, 2014 · Other
- Mitchell James Ross to UBS Financial Services Inc.Feb 17, 2012 · Other
- John Beatty Lynch to First Trust Advisors LPAug 10, 2011 · Other
- James Douglas Watt to Oppenheimer & Co. Inc.Apr 21, 2008 · Other
- Daniel Stanley Derisio to Wells Fargo AdvisorsApr 21, 2008 · Other
- David Francis Manderfield to Oppenheimer & Co. Inc.Dec 13, 2007 · Other
- Austin Whitney Verity to Oppenheimer & Co. Inc.Dec 11, 2007 · Other
- Raleigh Edward Kraft to Wells Fargo AdvisorsDec 11, 2007 · Other
- William Atkinson Lobb II to Oppenheimer & Co. Inc.Dec 4, 2007 · Other
- Lorraine Shihchun Cheng to Oppenheimer & Co. Inc.Nov 14, 2007 · Other
- Joseph Nicholas Russell to Century Advisory Group, LLCNov 14, 2007 · Other
- Brian Michael Rayfield to Morgan StanleyNov 14, 2007 · Other
Joined, latest
- Jeffrey Alan Sutton from UBS Financial Services Inc.Jul 15, 2013 · Other
- Bryan David Franco from Oppenheimer & Co. Inc.Apr 13, 2011 · Other
- Gregory James Hahn from Oppenheimer & Co. Inc.Jan 24, 2007 · Other
- Leo John Dierckman from 40/86 Advisors, Inc.Apr 25, 2006 · Other
- Kerry Eugene Wate from Merit Capital Management, L.L.C.Oct 24, 2005 · Other
- Mitchell James Ross from Oppenheimer & Co. Inc.Sep 30, 2005 · Other
- John Beatty Lynch from Oppenheimer & Co. Inc.May 4, 2004 · Other
- David Robert Burke from Cibc World Markets Corp.Apr 23, 2003 · Other
- Enrique Omar Torrens from Oppenheimer & Co. Inc.Apr 23, 2003 · Other
- James Douglas Watt from Cibc World Markets Corp.Apr 23, 2003 · Other
- John Edward Gunther from Oppenheimer & Co. Inc.Apr 23, 2003 · Other
- James Ira Scheinberg from Oppenheimer & Co. Inc.Apr 15, 2003 · Other
- Michael Anthony Brcic from Oppenheimer & Co. Inc.Apr 15, 2003 · Other
- Lorraine Shihchun Cheng from Cibc World Markets Corp.Apr 15, 2003 · Other
- Kathleen Marie Palumbo from Cibc World Markets Corp.Apr 15, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Oppenheimer & Co. Inc.Jun 20, 2025 · Westlake Village, Ca
- 5 joined from Oppenheimer & Co. Inc.Jan 5, 2016 · New York, Ny
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Aa Millennium USA Access Fund LLC | $68.1M | 174 | Sep 1, 2026 | |
| Aa 26n Private Equity Access Fund LLC | $8.7M | 40 | Sep 1, 2026 | |
| Aa Oaktree Power7 Access Fund, LLC | $5.8M | 101 | Sep 1, 2026 |
Owners and control persons
Schedule A and B, latest filing
- Michael Peter Cadaret · Presidentcontrolsince 06/2025 · owns less than 5%
- Deborah Kaback · Chief Legal Officercontrolsince 06/2003 · owns less than 5%
- Grinsfelder Albert Lowenthal · Executive Chairman/Directorcontrolsince 05/2025 · owns less than 5%
- Steven Robert Lowenthal · Ceo/Directorcontrolsince 05/2025 · owns less than 5%
- Edward Bryan Mckigney · Directorcontrolsince 04/2015 · owns less than 5%
- Patrick Dennis Mcnamara · Secretary/Directorcontrolsince 01/2003 · owns less than 5%
- Thornley Douglas Siegel · Global Compliance Officercontrolsince 02/2016 · owns less than 5%
- Thomas Dominic Valentino · Managing Directorcontrolsince 10/2025 · owns less than 5%
- Michael Brad Watkins · Senior Vice President-Cfocontrolsince 08/2022 · owns less than 5%
- Grinsfelder Albert Lowenthal · Ownercontrolsince 10/1985 · owns 75% or more of Phase II Financial Ltd
- Ercole Mark Montuschi · Chief Operations Officersince 03/2020 · owns less than 5%
- Alan Brian Roth · Ia-Ccosince 03/2021 · owns less than 5%
Entity owners
- E.A. Viner International Co. · Direct Parentdirect · owns 75% or more
- Oppenheimer Holdings Inc · Ultimate Parentindirect · owns 75% or more of Ea Viner International Co · public reporting company
- Phase II Financial Ltd · Holding Companyindirect · owns 50% to 75% of Oppenheimer Holdings Inc
Related persons
Schedule D 7.A
- Advantage Advisers Management, LLCinvestment adviserbankpooled vehicle sponsoryRAUM $469M
- Advantage Advisers Multi-Manager, L.L.C.investment adviserbankpooled vehicle sponsoryRAUM $4.9B
- Freedom Investments, Inc.broker-dealern
- Opco Activist LLCbankpooled vehicle sponsorn
- Oppenheimer & Co. Inc.broker-dealerinvestment adviserpooled vehicle sponsorLP sponsorcustodiannRAUM $37B
- Oppenheimer Alternative Investment Management, LLCinvestment adviserpooled vehicle sponsoryRAUM $178M
- Oppenheimer Europe Ltdbroker-dealern
- Oppenheimer Investment Management LLCinvestment adviseryRAUM $929M
- Oppenheimer Investments Asia Limitedbroker-dealern
- Oppenheimer Israel (Opco) Ltdbroker-dealern
- Oppenheimer Life Agency, Ltd.real estaten
- Oppenheimer Trust Company Inc.n
Advisers that list Oppenheimer Asset Management as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Carmel, In | 2 | 0 | 0 | ||
| New York, Ny · principal | 2 | 1 | 0 | ||
| Newport Beach, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Carmel, IN7 employees
- Ft. Worth, TX4 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 1, 2026CADARET, PETER, MICHAEL (PRESIDENT) appeared on Schedule A between the filings of 2022-09-02 and 2026-09-01peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 1, 2026Valentino, Dominic, Thomas (MANAGING DIRECTOR) appeared on Schedule A between the filings of 2022-09-02 and 2026-09-01peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 1, 2026SIEGEL, DOUGLAS, THORNLEY (GLOBAL COMPLIANCE OFFICER) left Schedule A between the filings of 2022-09-02 and 2026-09-01peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 1, 2026Kaback, Deborah (CHIEF LEGAL OFFICER) left Schedule A between the filings of 2022-09-02 and 2026-09-01peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 1, 2026MCNAMARA, DENNIS, PATRICK (SECRETARY/DIRECTOR) left Schedule A between the filings of 2022-09-02 and 2026-09-01peers: affiliated wealth managers, $20B and over (50)
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJul 1, 2026 to Sep 1, 2026
- Private funds · 3 to unsetJul 1, 2026 to Sep 1, 2026
- Succession · false to unsetJul 1, 2026 to Sep 1, 2026
- Accounts · 44,391 to 43,537Jan 4, 2026 to Mar 19, 2026
- Advisory employees · 134 to 129Jan 4, 2026 to Mar 19, 2026
- Advisory activities · 4 to 5Jan 4, 2026 to Mar 19, 2026
- BD registered reps · 55 to 53Jan 4, 2026 to Mar 19, 2026
- Charity clients · 266 to 252Jan 4, 2026 to Mar 19, 2026
- Corporate clients · 834 to 765Jan 4, 2026 to Mar 19, 2026
- HNW clients · 1,821 to 2,034Jan 4, 2026 to Mar 19, 2026
- Individual clients · 40,637 to 39,766Jan 4, 2026 to Mar 19, 2026
- Pension plan clients · 541 to 470Jan 4, 2026 to Mar 19, 2026
- Pooled vehicle clients · 0 to 3Jan 4, 2026 to Mar 19, 2026
- Employees · 134 to 129Jan 4, 2026 to Mar 19, 2026
- Private funds · unset to 3Jan 4, 2026 to Mar 19, 2026
- Discretionary RAUM · $15B to $16BJan 4, 2026 to Mar 19, 2026
- HNW RAUM · $4.0B to $4.4BJan 4, 2026 to Mar 19, 2026
- Individual RAUM · $12B to $13BJan 4, 2026 to Mar 19, 2026
- Non-discretionary RAUM · $5.0B to $5.0BJan 4, 2026 to Mar 19, 2026
- Pension RAUM · $416M to $401MJan 4, 2026 to Mar 19, 2026
- Pooled vehicle RAUM · $0 to $82.6MJan 4, 2026 to Mar 19, 2026
- RAUM · $20B to $21BJan 4, 2026 to Mar 19, 2026
- Wrap assets (manager) · $57.2M to $58.1MJan 4, 2026 to Mar 19, 2026
- Wrap assets (sponsor) · $1.2B to $1.2BJan 4, 2026 to Mar 19, 2026
- Financial planning clients · unset to Jun 25, 2025 to Jul 10, 2025
- Accounts · 43,564 to 44,391Mar 19, 2024 to Mar 27, 2025
- Advisory employees · 127 to 134Mar 19, 2024 to Mar 27, 2025
- BD registered reps · 52 to 55Mar 19, 2024 to Mar 27, 2025
- Charity clients · 270 to 266Mar 19, 2024 to Mar 27, 2025
- Corporate clients · 844 to 834Mar 19, 2024 to Mar 27, 2025
- HNW clients · 1,491 to 1,821Mar 19, 2024 to Mar 27, 2025
- Individual clients · 40,142 to 40,637Mar 19, 2024 to Mar 27, 2025
- Pension plan clients · 528 to 541Mar 19, 2024 to Mar 27, 2025
- Employees · 127 to 134Mar 19, 2024 to Mar 27, 2025
- Discretionary RAUM · $14B to $15BMar 19, 2024 to Mar 27, 2025
- HNW RAUM · $4.1B to $4.0BMar 19, 2024 to Mar 27, 2025
- Individual RAUM · $12B to $12BMar 19, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $4.7B to $5.0BMar 19, 2024 to Mar 27, 2025
- Pension RAUM · $393M to $416MMar 19, 2024 to Mar 27, 2025
- RAUM · $19B to $20BMar 19, 2024 to Mar 27, 2025
Signals
5 dated events
- Maurice Gordon Stuffmann left Oppenheimer Asset Management for Oppenheimer & Co. Inc. (registered 2011-02-01)Dec 31, 2025 · Advisor changed firm · fact
- 3 advisors left Oppenheimer & CO. Inc. (Westlake Village, CA) for Oppenheimer Asset Management on the same dayJun 20, 2025 · Team lift-out · derived
- Olga Roberts (Controls 100% Of Elka Estates) no longer on Schedule A of Oppenheimer Asset Management (listed 2023-03-21, absent 2023-04-20)Apr 20, 2023 · Control person left · inference
- Jeffrey Alfano (Cfo) no longer on Schedule A of Oppenheimer Asset Management (listed 2021-12-01, absent 2022-03-09)Mar 9, 2022 · Control person left · inference
- Oppenheimer Asset Management reported 22 state-registered advisory representatives, up from 7 (2019-02-07 to 2019-03-19)Mar 19, 2019 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
- Oppenheimer Asset Management · Independent Sponsorsshared crd · capital_provider
- Oppenheimer Asset Management · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- OPPENHEIMER.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-668-8000reportedpublic record, Form ADV, Sep 1, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $4.3Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026