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 Alternative Investment Management, LLC
Latest filing Sep 1, 2026
First filing on the tape Mar 29, 2012 · 44 filings
SEC status approved since Jun 6, 2006
RAUM
$178M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$178M as of Jul 1, 2026
Mar 29, 2012$384M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 1, 2026
Mar 20, 20130 then
Employees (5.A)9 as of Jul 1, 2026
Mar 20, 20130 then
Private funds7 as of Jul 1, 2026
Mar 29, 20129 then
RAUM +263% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $25.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +263%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $178M, 7 clientsreportedItem 9.A
- 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
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$178M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $178M for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=4.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
31 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Private Market Opportunity - Vista Fund IV, LLC | Private Equity Fund | $54.8M | 305 | Mar 24, 2023 |
| Oppenheimer Capital Structure Opportunities Master Fund Ltd.no longer reported | Hedge Fund | $41.2M | 1 | Mar 20, 2013 |
| Oppenheimer Capital Structure Opportunities Fund, L.P.no longer reported | Hedge Fund | $30.0M | 25 | Mar 29, 2012 |
| Private Market Opportunity - Vista Fund I, LLC | Other Private Fund | $26.9M | 284 | Apr 18, 2018 |
| Private Market Opportunity - Vista Fund V, LLC | Private Equity Fund | $25.8M | 161 | Mar 22, 2024 |
| Private Market Opportunity - Vista Fund III, LLC | Private Equity Fund | $19.7M | 154 | Mar 24, 2020 |
| Oppenheimer Global Resource Private Equity Fund I, L.P. | Private Equity Fund | $19.7M | 106 | Mar 29, 2012 |
| Private Market Opportunity - Vista Fund II, LLC | Other Private Fund | $14.3M | 175 | Mar 25, 2019 |
| Oppenheimer Global Resource Private Equity Offshore Fund I, L.P. | Private Equity Fund | $9.9M | 20 | Mar 29, 2012 |
| Oppenheimer Private Equity Offshore Fund I, L.P.no longer reported | Private Equity Fund | $9.2M | 73 | Mar 29, 2012 |
| Advantage Advisers Birch Grove Access Fund, LLCno longer reported | Hedge Fund | $8.3M | 13 | Mar 30, 2015 |
| Oppenheimer Private Equity Fund I, L.P.no longer reported | Private Equity Fund | $7.6M | 284 | Mar 29, 2012 |
| Odp Aiv II, L.P.no longer reported | Private Equity Fund | $6.5M | 61 | Mar 20, 2013 |
| Oppenheimer Private Equity Co-Investment Fund I, L.P.no longer reported | Private Equity Fund | $4.1M | 126 | Mar 29, 2012 |
| Ogr Offshore Eif Aiv I, L.P.no longer reported | Private Equity Fund | $4.0M | 20 | Mar 20, 2013 |
| Oppenheimer Drilling Partners, L.P.no longer reported | Private Equity Fund | $3.6M | 61 | Mar 29, 2012 |
| Odp Aiv I, L.Pno longer reported | Private Equity Fund | $3.4M | 61 | Mar 20, 2013 |
| Kansas Odp, L.P. Series Bno longer reported | Private Equity Fund | $3.1M | 181 | Mar 31, 2014 |
| Odp Aiv III, L.P.no longer reported | Private Equity Fund | $2.4M | 61 | Mar 20, 2013 |
| Oppenheimer Global Resource Hedge Fund, L.P.no longer reported | Other Private Fund | $1.3M | 0 | Mar 29, 2012 |
| Kansas Odp, L.P. Series Ano longer reported | Private Equity Fund | $1.1M | 120 | Mar 31, 2014 |
| Ogr Eif Aiv I, L.P.no longer reported | Private Equity Fund | $1.1M | 14 | Mar 20, 2013 |
| Ogr Atlas Aiv I, L.Pno longer reported | Private Equity Fund | $424,959 | 20 | Mar 20, 2013 |
| Ogr Petroleum Aiv I, L.P.no longer reported | Private Equity Fund | $347,499 | 20 | Mar 20, 2013 |
| Oppenheimer Private Equity Co-Investment Offshore Fund I, L.P.no longer reported | Private Equity Fund | $109,024 | 19 | Mar 29, 2012 |
| Ogr Offshore Sfc Aiv I, L.P.no longer reported | Private Equity Fund | $108,804 | 20 | Mar 20, 2013 |
| Ogr Sfc Aiv I, L.P.no longer reported | Private Equity Fund | $64,474 | 14 | Mar 20, 2013 |
| Opeco Kodp I, LPno longer reported | Private Equity Fund | $58,186 | 19 | Mar 20, 2018 |
| Opeco Petroleum Aiv I, L.Pno longer reported | Private Equity Fund | $41,503 | 19 | Mar 20, 2013 |
| Opeco Kodp I, L.P.no longer reported | Private Equity Fund | $0 | 0 | Apr 25, 2013 |
| Opeci Aiv I, L.P.no longer reported | Private Equity Fund | $0 | 139 | Mar 20, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Deborah Kaback · Senior Vice Presidentcontrolsince 04/2006 · owns less than 5%
- Steven Robert Lowenthal · Senior Vice Presidentcontrolsince 01/2021 · owns less than 5%
- Edward Bryan Mckigney · Presidentcontrolsince 04/2015 · owns less than 5%
- Patrick Dennis Mcnamara · Secretarycontrolsince 04/2006 · owns less than 5%
- Thornley Douglas Siegel · Global Compliance Officercontrolsince 02/2016 · owns less than 5%
- Alan Brian Roth · Cco-Iasince 08/2020 · owns less than 5%
- Michael Brad Watkins · Senior Vice President - Cfosince 08/2022 · owns less than 5%
Entity owners
- Oppenheimer Asset Management Inc. · Direct Ownerdirect · owns 75% or more
- E.A. Viner International Co. · 100% Ownerindirect · owns 75% or more of Oppenheimer Asset Management Inc.
- Oppenheimer Holdings Inc. · 100% Ownerindirect · owns 75% or more of E.A. Viner International Co. · public reporting company
Related persons
Schedule D 7.A
- Advantage Advisers Management, LLCinvestment adviserbankpooled vehicle sponsornRAUM $469M
- Advantage Advisers Multi-Manager, L.L.C.investment adviserbankpooled vehicle sponsornRAUM $4.9B
- Freedom Investments, Inc.broker-dealern
- Opco Activist LLCbankpooled vehicle sponsorn
- Oppenheimer & Co. Inc.broker-dealerinvestment adviserpooled vehicle sponsorLP sponsornRAUM $37B
- Oppenheimer Asset Managementinvestment adviseryRAUM $21B
- Oppenheimer Europe Ltdbroker-dealern
- Oppenheimer Investment Management LLCinvestment advisernRAUM $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 Alternative Investment Management, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJul 1, 2026 to Sep 1, 2026
- Private funds · 7 to unsetJul 1, 2026 to Sep 1, 2026
- Succession · false to unsetJul 1, 2026 to Sep 1, 2026
- Accounts · 5 to 7Oct 28, 2025 to Mar 23, 2026
- Pooled vehicle clients · 5 to 7Oct 28, 2025 to Mar 23, 2026
- Assets in custody · $49.0M to $178MOct 28, 2025 to Mar 23, 2026
- Private funds · 5 to 7Oct 28, 2025 to Mar 23, 2026
- Discretionary RAUM · $49.0M to $178MOct 28, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $49.0M to $178MOct 28, 2025 to Mar 23, 2026
- RAUM · $49.0M to $178MOct 28, 2025 to Mar 23, 2026
- Financial planning clients · unset to Jun 25, 2025 to Jul 10, 2025
- Accounts · 6 to 5Jul 2, 2024 to Apr 29, 2025
- BD registered reps · 3 to 4Jul 2, 2024 to Apr 29, 2025
- Pooled vehicle clients · 6 to 5Jul 2, 2024 to Apr 29, 2025
- Assets in custody · $116M to $49.0MJul 2, 2024 to Apr 29, 2025
- Employees · 8 to 9Jul 2, 2024 to Apr 29, 2025
- Private funds · 6 to 5Jul 2, 2024 to Apr 29, 2025
- Discretionary RAUM · $116M to $49.0MJul 2, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $116M to $49.0MJul 2, 2024 to Apr 29, 2025
- RAUM · $116M to $49.0MJul 2, 2024 to Apr 29, 2025
- BD registered reps · 4 to 3Jul 3, 2023 to Mar 22, 2024
- Assets in custody · $270M to $116MJul 3, 2023 to Mar 22, 2024
- Discretionary RAUM · $270M to $116MJul 3, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $270M to $116MJul 3, 2023 to Mar 22, 2024
- RAUM · $270M to $116MJul 3, 2023 to Mar 22, 2024
- Accounts · 5 to 6Nov 15, 2022 to Mar 24, 2023
- BD registered reps · 5 to 4Nov 15, 2022 to Mar 24, 2023
- Pooled vehicle clients · 5 to 6Nov 15, 2022 to Mar 24, 2023
- Assets in custody · $475M to $270MNov 15, 2022 to Mar 24, 2023
- Private funds · 5 to 6Nov 15, 2022 to Mar 24, 2023
- Discretionary RAUM · $475M to $270MNov 15, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $475M to $270MNov 15, 2022 to Mar 24, 2023
- RAUM · $475M to $270MNov 15, 2022 to Mar 24, 2023
- Private funds · 11 to 5Sep 12, 2022 to Nov 15, 2022
- Accounts · 9 to 5May 24, 2021 to Mar 15, 2022
- Pooled vehicle clients · 9 to 5May 24, 2021 to Mar 15, 2022
- Assets in custody · $199M to $475MMay 24, 2021 to Mar 15, 2022
- Private funds · 16 to 11May 24, 2021 to Mar 15, 2022
- Discretionary RAUM · $199M to $475MMay 24, 2021 to Mar 15, 2022
- Pooled vehicle RAUM · $199M to $475MMay 24, 2021 to Mar 15, 2022
Signals
7 dated events
- Oppenheimer Alternative Investment Management, Llc reported RAUM $116.3M, down 57% from $269.8M (2023-07-03 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- Steven Robert Lowenthal (Senior Vice President) appeared on Schedule A of Oppenheimer Alternative Investment Management, LlcMar 22, 2024 · Control person joined · fact
- Oppenheimer Alternative Investment Management, Llc reported RAUM $269.8M, down 43% from $475.2M (2022-11-15 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- Frank Salvatore Agosta (Acting Cfo) no longer on Schedule A of Oppenheimer Alternative Investment Management, Llc (listed 2022-03-15, absent 2022-09-06)Sep 6, 2022 · Control person left · inference
- Oppenheimer Alternative Investment Management, Llc reported RAUM $475.2M, up 138% from $199.4M (2021-05-24 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- Joseph Jeffrey Alfano (Cfo) no longer on Schedule A of Oppenheimer Alternative Investment Management, Llc (listed 2021-05-24, absent 2022-03-15)Mar 15, 2022 · Control person left · inference
- Frank Salvatore Agosta (Acting Cfo) appeared on Schedule A of Oppenheimer Alternative Investment Management, LlcMar 15, 2022 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Oppenheimer Alternative Investment Management, LLC · Independent Sponsorsshared crd · capital_provider
- Oppenheimer Alternative Investment Management, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026