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
O'Shaughnessy Asset Management, LLC
Latest filing Dec 16, 2025
First filing on the tape Mar 28, 2012 · 40 filings
SEC status approved since Jul 25, 2007
RAUM
$20B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$16B individuals and HNW
Advisors
58
registered through the firm on IAPD
RAUM per advisor
$341M
derived; firm RAUM over IAPD count
Employees
103
53 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$20B as of Dec 16, 2025
Mar 28, 2012$4.4B then
HNW client RAUM$16B as of Dec 16, 2025
Feb 27, 2018$1.1B then
State-registered IARs (5.B.3)53 as of Dec 16, 2025
Mar 18, 201316 then
Employees (5.A)103 as of Dec 16, 2025
Mar 18, 201329 then
Private funds1 as of Mar 31, 2021
Mar 18, 20131 then
RAUM +148% over the last fiscal year+42% a year over threeIARs 40 to 53
Practice profile
derived from the filing of Dec 16, 2025; every figure names its basis
- RAUM per advisor
- $341MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 185derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 58.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +58%derivedbetween the last two annual amendments
- Advisor growth, one year
- +18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +71%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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 acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$16B81%
- Corporations and businesses$1.8B9.2%
- Pooled investment vehicles$1.1B5.8%
- Investment companies$266M1.3%
- Charitable organizations$236M1.2%
- State and municipal entities$207M1.0%
- Pension and profit-sharing plans$69.8M0.4%
- Sovereign wealth funds$45.8M0.2%
- Individual clients
- 0reported
- HNW clients
- 10,734reported
- Pension plan clients
- 18reported
- Charitable clients
- 40reported
- Accounts
- 11,156reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $5.0B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.81 fund_share=0.07 institutional_share=0.03 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
58 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ari Mark Rosenbaum | Stamford, Ct | Nov 21, 2007 | 20 y | 1 |
| Christopher Stratton Loveless | Stamford, Ct | Nov 23, 2007 | 31 y | 1 |
| Lenny Castagna | Stamford, Ct | Jan 25, 2008 | 20 y | 1 |
| Erin Marie Foley | Stamford, Ct | May 9, 2008 | 30 y | 0 |
| Ronald John Schuler | Stamford, Ct | May 23, 2008 | 26 y | 0 |
| Scott Michael BartoneChartered Financial Analyst | Stamford, Ct | Jun 2, 2008 | 19 y | 1 |
| Patrick Walker O'Shaughnessy | Stamford, Ct | Jul 25, 2008 | 19 y | 0 |
| Claudine Antoinette Spence | Stamford, Ct | Aug 1, 2008 | 19 y | 0 |
| Ehren Jonathan StanhopeChartered Financial Analyst | Stamford, Ct | Apr 23, 2010 | 16 y | 0 |
| Patrick J Mcstay | Stamford, Ct | Mar 30, 2015 | 13 y | 1 |
| Paul Jon Ackerley | Stamford, Ct | Apr 22, 2016 | 11 y | 0 |
| Daniel H NitiutomoChartered Financial Analyst | Stamford, Ct | Sep 1, 2017 | 11 y | 0 |
| Andrew Eastman Iles | Stamford, Ct | Jun 13, 2019 | 12 y | 0 |
| Thomas James Farrell | Stamford, Ct | Jun 23, 2020 | 13 y | 0 |
| Maksim Vladislavovich Papenkov | Stamford, Ct | Mar 26, 2021 | 11 y | 0 |
| Claire Mcconnell NoelChartered Financial Analyst | Stamford, Ct | Jun 11, 2021 | 14 y | 0 |
| Euan MackayChartered Financial Analyst | Stamford, Ct | Sep 17, 2021 | 11 y | 0 |
| Kristen Sue ClarkChartered Financial Analyst | Stamford, Ct | Apr 5, 2022 | 11 y | 1 |
| Andrea Marie Oloughlin | Stamford, Ct | Jun 13, 2022 | 17 y | 1 |
| Kristopher Ryan SmithChartered Financial Analyst | Stamford, Ct | Jul 14, 2022 | 25 y | 0 |
| Roger Nmn Paradiso | Stamford, Ct | Jul 22, 2022 | 31 y | 6 |
| Thomas Patrick Canals | Stamford, Ct | Sep 9, 2022 | 12 y | 1 |
| Laura Ann Foster | Stamford, Ct | Oct 14, 2022 | 12 y | 0 |
| Anthony Vollmer | Stamford, Ct | Oct 27, 2022 | 19 y | 0 |
| Haoqi Nmn ZhangChartered Financial Analyst | Stamford, Ct | Nov 5, 2022 | 12 y | 0 |
| Nicholas Vashishta Bhaskar | Stamford, Ct | Dec 5, 2022 | 10 y | 0 |
| Abbey Elizabeth Duncan | Stamford, Ct | Dec 23, 2022 | 14 y | 0 |
| Christian Frederick Boinske | Stamford, Ct | Jan 27, 2023 | 11 y | 1 |
| William Alfred Carinci | Stamford, Ct | Mar 10, 2023 | 22 y | 1 |
| Mark Joseph Hebeka | Stamford, Ct | Apr 10, 2023 | 17 y | 1 |
| Jeffrey Austin Gebauer | Stamford, Ct | May 20, 2023 | 13 y | 0 |
| Kevin Daniel Jacobs | Stamford, Ct | May 24, 2023 | 12 y | 0 |
| Julie Anne Marie Samaniego Villena | Stamford, Ct | Jul 21, 2023 | 25 y | 3 |
| Christian Nmn Coratti | Stamford, Ct | Aug 23, 2023 | 13 y | 0 |
| Jamie A Zelem | Stamford, Ct | Oct 4, 2023 | 19 y | 4 |
| Joseph Southern Giroux | Stamford, Ct | Jan 8, 2024 | 14 y | 0 |
| Michael James LutherChartered Financial Analyst | Stamford, Ct | Feb 2, 2024 | 13 y | 0 |
| Emily Claire Sgammato | Stamford, Ct | Mar 1, 2024 | 12 y | 0 |
| Richard S Bastien | Stamford, Ct | Aug 19, 2024 | 12 y | 0 |
| Beau Matthew Robinette | Stamford, Ct | Oct 7, 2024 | 11 y | 0 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Matthew John Greene to Fidelity Institutional Wealth Adviser LLCOct 3, 2022 · RIA to RIA
- Mark Ray Vernon to Edward JonesAug 2, 2016 · Other
- James Wesley Babson to Charles Schwab & Co., Inc.Apr 1, 2016 · Other
- Michael George Hattrup to Neuberger Berman Bd LLCMar 11, 2016 · Other
- Patrick Anthony Kujawa to Denk Strategic Wealth PartnersDec 9, 2009 · Other
- Thomas Wayne Rawlings to Maple Capital Management, Inc.Jun 29, 2009 · Other
Joined, latest
- Mohammed Azizur Miah from UBS Financial Services Inc.Oct 20, 2025 · Wirehouse to independent RIA
- Mary Erwin from Russell InvestmentsSep 29, 2025 · Other
- Anthony Jordan Garbarino from Fisher InvestmentsSep 23, 2025 · RIA to RIA
- John Edward Shetterly from Osaic Wealth, Inc.Mar 31, 2025 · Affiliated broker-dealer or bank to independent RIA
- Andrew John Dillon from Eaton Vance ManagementOct 7, 2024 · Other
- Jamie A Zelem from Clearbridge Investments, LLCOct 4, 2023 · RIA to RIA
- Julie Anne Marie Samaniego Villena from Stifel, Nicolaus & Company, IncorporatedJul 21, 2023 · Affiliated broker-dealer or bank to independent RIA
- Mark Joseph Hebeka from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 10, 2023 · Wirehouse to independent RIA
- William Alfred Carinci from MML Investors Services, LLCMar 10, 2023 · Affiliated broker-dealer or bank to independent RIA
- Christian Frederick Boinske from Dimensional Fund Advisors LPJan 27, 2023 · Other
- Thomas Patrick Canals from Dimensional Fund Advisors LPSep 9, 2022 · Other
- Roger Nmn Paradiso from Financial Guard, LLCJul 22, 2022 · RIA to RIA
- Andrea Marie Oloughlin from UBS Financial Services Inc.Jun 13, 2022 · Wirehouse to independent RIA
- Kristen Sue Clark from Eaton Vance ManagementApr 5, 2022 · Other
- Patrick J Mcstay from Morgan StanleyMar 30, 2015 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Positive Sum Capital LPno longer reported | Venture Capital Fund | $80.5M | 90 | Nov 9, 2020 |
| O'Shaughnessy Pari Passu, LPno longer reported | Hedge Fund | $8.4M | 1 | Mar 18, 2013 |
| O'Shaughnessy International Market Leaders Value LPno longer reported | Other Private Fund | $0 | 0 | Mar 29, 2017 |
Owners and control persons
Schedule A and B, latest filing
- Nmn Raymond Amoroso III · Chief Compliance Officer/Principalcontrolsince 01/2008 · owns less than 5%
- Michael Scott Bartone · Chief Product Officer/Co-Head Of Investment Management/Portfolio Manager/Principalcontrolsince 07/2013 · owns less than 5%
- Scott Bradley Berggren · Co-Cio Of Canvas Managed Options Strategies/Portfolio Manager/Principalcontrolsince 12/2025 · owns less than 5%
- Marie Erin Foley · Director Of Trading/Principalcontrolsince 09/2007 · owns less than 5%
- Nmn Rajat Gupta · Chief Technology Officer/Principalcontrolsince 06/2022 · owns less than 5%
- Christopher Loveless · President/Principalcontrolsince 07/2007 · owns less than 5%
- Patrick O'Shaughnessy · Chairman Emeritus Investment Management/Portfolio Manager/Principalcontrolsince 07/2013 · owns less than 5%
- Jonathan Orseck · Co-Cio Of Canvas Managed Options Strategies/Portfolio Manager/Principalcontrolsince 12/2025 · owns less than 5%
- Nmn Roger Paradiso · Executive Chairman/Principalcontrolsince 06/2022 · owns less than 5%
- Mark Ari Rosenbaum · Director Of Private Wealth Solutions/Principalcontrolsince 07/2007 · owns less than 5%
- Ryan Kristopher Smith · Chief Operating Officer/Principalcontrolsince 06/2022 · owns less than 5%
- Claudine Spence · Director Of Client Service/Principalcontrolsince 01/2017 · owns less than 5%
- Jonathan Ehren Stanhope · Chief Investment Strategist/Co-Head Of Investment Management/Portfolio Manager/Principalcontrolsince 01/2015 · owns less than 5%
Entity owners
- Franklin Resources, Inc. · Managing Memberdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- Franklin Advisers, Inc.investment adviserbanknRAUM $509B
- Franklin Managed Options Strategies, LLCinvestment advisernRAUM $973M
- Franklin Templeton Private Portfolio Group, LLCinvestment advisernRAUM $140B
Advisers that list O'Shaughnessy Asset Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 58 | 11 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Dec 16, 2025BERGGREN, BRADLEY, SCOTT (CO-CIO OF CANVAS MANAGED OPTIONS STRATEGIES/PORTFOLIO MANAGER/PRINCIPAL) appeared on Schedule A between the filings of 2023-12-15 and 2025-12-16peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Dec 16, 2025ORSECK, JONATHAN (CO-CIO OF CANVAS MANAGED OPTIONS STRATEGIES/PORTFOLIO MANAGER/PRINCIPAL) appeared on Schedule A between the filings of 2023-12-15 and 2025-12-16peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Dec 16, 2025STANHOPE, EHREN, JONATHAN (CHIEF INVESTMENT STRATEGIST/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL) left Schedule A between the filings of 2023-12-15 and 2025-12-16peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 6,791 to 11,156Dec 17, 2024 to Dec 16, 2025
- Advisory employees · 47 to 53Dec 17, 2024 to Dec 16, 2025
- HNW clients · 6,368 to 10,734Dec 17, 2024 to Dec 16, 2025
- Employees · 81 to 103Dec 17, 2024 to Dec 16, 2025
- Financial planning clients · unset to Dec 17, 2024 to Dec 16, 2025
- State-registered IARs · 47 to 53Dec 17, 2024 to Dec 16, 2025
- Discretionary RAUM · $13B to $20BDec 17, 2024 to Dec 16, 2025
- HNW RAUM · $9.1B to $16BDec 17, 2024 to Dec 16, 2025
- Pension RAUM · $62.1M to $69.8MDec 17, 2024 to Dec 16, 2025
- Pooled vehicle RAUM · $1.1B to $1.1BDec 17, 2024 to Dec 16, 2025
- RAUM · $13B to $20BDec 17, 2024 to Dec 16, 2025
- Wrap assets (manager) · $2.5B to $5.0BDec 17, 2024 to Dec 16, 2025
- Accounts · 4,197 to 6,791Aug 5, 2024 to Dec 17, 2024
- Advisory employees · 41 to 47Aug 5, 2024 to Dec 17, 2024
- Charity clients · 45 to 40Aug 5, 2024 to Dec 17, 2024
- Corporate clients · 382 to 344Aug 5, 2024 to Dec 17, 2024
- HNW clients · 3,725 to 6,368Aug 5, 2024 to Dec 17, 2024
- Pension plan clients · 24 to 18Aug 5, 2024 to Dec 17, 2024
- Employees · 69 to 81Aug 5, 2024 to Dec 17, 2024
- State-registered IARs · 41 to 47Aug 5, 2024 to Dec 17, 2024
- Discretionary RAUM · $8.0B to $13BAug 5, 2024 to Dec 17, 2024
- HNW RAUM · $4.4B to $9.1BAug 5, 2024 to Dec 17, 2024
- Pension RAUM · $245M to $62.1MAug 5, 2024 to Dec 17, 2024
- Pooled vehicle RAUM · $1.2B to $1.1BAug 5, 2024 to Dec 17, 2024
- RAUM · $8.0B to $13BAug 5, 2024 to Dec 17, 2024
- Wrap assets (manager) · $5.6B to $2.5BAug 5, 2024 to Dec 17, 2024
- Advisory employees · 40 to 41Apr 15, 2024 to Aug 5, 2024
- State-registered IARs · 40 to 41Apr 15, 2024 to Aug 5, 2024
- Employees · 70 to 69Jan 16, 2024 to Apr 15, 2024
- Accounts · 3,430 to 4,197Feb 28, 2023 to Dec 15, 2023
- Advisory employees · 30 to 40Feb 28, 2023 to Dec 15, 2023
- Charity clients · 49 to 45Feb 28, 2023 to Dec 15, 2023
- Corporate clients · 396 to 382Feb 28, 2023 to Dec 15, 2023
- HNW clients · 2,934 to 3,725Feb 28, 2023 to Dec 15, 2023
- Pension plan clients · 27 to 24Feb 28, 2023 to Dec 15, 2023
- Pooled vehicle clients · 9 to 8Feb 28, 2023 to Dec 15, 2023
- Employees · 60 to 70Feb 28, 2023 to Dec 15, 2023
- State-registered IARs · 30 to 40Feb 28, 2023 to Dec 15, 2023
- Discretionary RAUM · $6.3B to $8.0BFeb 28, 2023 to Dec 15, 2023
- HNW RAUM · $2.6B to $4.4BFeb 28, 2023 to Dec 15, 2023
Signals
15 dated events
- O'Shaughnessy Asset Management, Llc reported RAUM $19.8B, up 57% from $12.6B (2024-12-17 to 2025-12-16)Dec 16, 2025 · RAUM change · derived
- O'Shaughnessy Asset Management, Llc reported RAUM $12.6B, up 58% from $8.0B (2024-08-05 to 2024-12-17)Dec 17, 2024 · RAUM change · derived
- Ira Christopher Meredith (Chief Investment Officer/Portfolio Manager/Principal) no longer on Schedule A of O'Shaughnessy Asset Management, Llc (listed 2024-01-16, absent 2024-04-15)Apr 15, 2024 · Control person left · inference
- O'Shaughnessy Asset Management, Llc reported 40 state-registered advisory representatives, up from 30 (2023-02-28 to 2023-12-15)Dec 15, 2023 · Advisor headcount change · derived
- O'Shaughnessy Asset Management, Llc reported RAUM $8.0B, up 27% from $6.3B (2023-02-28 to 2023-12-15)Dec 15, 2023 · RAUM change · derived
- Ryan Kristopher Smith (Chief Operating Officer/Principal) appeared on Schedule A of O'Shaughnessy Asset Management, LlcDec 15, 2023 · Control person joined · fact
- Patrick James O'Shaughnessy (Chairman, Co-Cio, Portfolio Manager, Principal) no longer on Schedule A of O'Shaughnessy Asset Management, Llc (listed 2022-12-20, absent 2023-01-27)Jan 27, 2023 · Control person left · inference
- Nmn Xiuyun Shi (Director Of Finance/Principal) no longer on Schedule A of O'Shaughnessy Asset Management, Llc (listed 2022-12-20, absent 2023-01-27)Jan 27, 2023 · Control person left · inference
- Matthew John Greene left O'Shaughnessy Asset Management, Llc for Fidelity Institutional Wealth Adviser Llc (registered 2023-08-02)Oct 3, 2022 · Advisor changed firm · fact
- Roger Paradiso (Executive Chairman) appeared on Schedule A of O'Shaughnessy Asset Management, LlcJul 11, 2022 · Control person joined · fact
- Rajat Gupta (Chief Technology Officer) appeared on Schedule A of O'Shaughnessy Asset Management, LlcJul 11, 2022 · Control person joined · fact
- Emmanuel Joseph Dessalines (Director Of Technology/Principal) no longer on Schedule A of O'Shaughnessy Asset Management, Llc (listed 2022-05-02, absent 2022-07-11)Jul 11, 2022 · Control person left · inference
- O'Shaughnessy Asset Management, Llc reported RAUM $6.9B, up 43% from $4.8B (2021-11-01 to 2022-02-08)Feb 8, 2022 · RAUM change · derived
- Brent Travis Fairchild (Portfolio Manager/Member) no longer on Schedule A of O'Shaughnessy Asset Management, Llc (listed 2021-03-31, absent 2021-08-23)Aug 23, 2021 · Control person left · inference
- Xiuyun Shi (Director Of Finance/Member) appeared on Schedule A of O'Shaughnessy Asset Management, LlcMar 30, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- O'Shaughnessy Asset Management, LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- OSAM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 203-975-3333reportedpublic record, Form ADV, Dec 16, 2025
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $341Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026