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.

Former SEC-registered adviser

Ofi Global Asset Management, Inc.

Former SEC-registered adviserNew York, New YorkCRD 161556SEC 801-76771IAPD
Latest filing Mar 29, 2019
First filing on the tape Jun 1, 2012 · 18 filings
RAUM
$204B
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
1,394
209 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
10
$176M gross assets
History
18 filings and snapshots on the tape
RAUM$204B as of Mar 29, 2019
Mar 28, 2013$169B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20130 then
Employees (5.A)1,394 as of Mar 29, 2019
Mar 28, 2013914 then
Private funds10 as of Mar 29, 2019
Mar 28, 20139 then
RAUM -0.1% over the last fiscal year+3.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$2.6BderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-0.1%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$204B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
78reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Raf Fund Ltd.no longer reportedOther Private Fund$58.8M1Mar 30, 2012
      Oppenheimer Global Multi-Alternatives Fund Va (Cayman) Ltd.Other Private Fund$13.2M1Mar 28, 2014
      Oppenheimer Currency Opportunities Fund (Cayman) Ltd.no longer reportedOther Private Fund$01Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Marie Kristie Feinberg · Senior Vice President & Treasurercontrol
        since 01/2013 · owns less than 5%
      • Cynthia Lo Bessette · Executive Vice President, General Counsel & Secretarycontrol
        since 02/2016 · owns less than 5%
      • Kumar Krishna Memani · Executive Vice Presidentcontrol
        since 01/2014 · owns less than 5%
      • Matthew David Pfeffer · Executive Vice President & Chief Financial Officercontrol
        since 01/2013 · owns less than 5%
      • Ann Mary Picciotto · Senior Vice President & Chief Compliance Officercontrol
        since 03/2014 · owns less than 5%
      • Philip Arthur Steinmetz · President, Chairman, Chief Executive Officer & Directorcontrol
        since 07/2014 · owns less than 5%
      Entity owners
      • Oppenheimerfunds Inc · Shareholder
        direct · owns 75% or more
      • Massachusetts Mutual Life Insurance Company · Member
        indirect · owns 75% or more of Massmutual Holding LLC
      • Massmutual Holding LLC · Member
        indirect · owns 75% or more of MML Asset Management Holding LLC
      • Mm Asset Management Holding LLC · Shareholder
        indirect · owns 75% or more of Oppenheimer Acquisition Corp.
      • Oppenheimer Acquisition Corp. · Shareholder
        indirect · owns 75% or more of Oppenheimerfunds, Inc.
      Related persons
      Schedule D 7.A
      Advisers that list Ofi Global Asset Management, Inc. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Centennial, CO27 employees
      • Rochester, NY22 employees
      What changed
      consecutive filings, newest first
      • Accounts · 92 to 78
        Aug 22, 2018 to Mar 29, 2019
      • Advisory employees · 203 to 209
        Aug 22, 2018 to Mar 29, 2019
      • BD registered reps · 347 to 332
        Aug 22, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 10.0 to unset
        Aug 22, 2018 to Mar 29, 2019
      • Employees · 1,352 to 1,394
        Aug 22, 2018 to Mar 29, 2019
      • Discretionary RAUM · $205B to $204B
        Aug 22, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · 216796989.0 to unset
        Aug 22, 2018 to Mar 29, 2019
      • RAUM · $205B to $204B
        Aug 22, 2018 to Mar 29, 2019
      • Accounts · 100 to 92
        Aug 9, 2017 to Mar 29, 2018
      • Advisory employees · 190 to 203
        Aug 9, 2017 to Mar 29, 2018
      • BD registered reps · 398 to 347
        Aug 9, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 10.0
        Aug 9, 2017 to Mar 29, 2018
      • Employees · 1,400 to 1,352
        Aug 9, 2017 to Mar 29, 2018
      • Other offices · unset to 2.0
        Aug 9, 2017 to Mar 29, 2018
      • Discretionary RAUM · $177B to $205B
        Aug 9, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 216796989.0
        Aug 9, 2017 to Mar 29, 2018
      • RAUM · $177B to $205B
        Aug 9, 2017 to Mar 29, 2018
      • Accounts · 98 to 100
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 193 to 190
        Mar 30, 2016 to Mar 31, 2017
      • BD registered reps · 307 to 398
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 1,457 to 1,400
        Mar 30, 2016 to Mar 31, 2017
      • Private funds · 11 to 10
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $183B to $177B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $183B to $177B
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 94 to 98
        Nov 18, 2015 to Mar 30, 2016
      • Advisory employees · 183 to 193
        Nov 18, 2015 to Mar 30, 2016
      • BD registered reps · 407 to 307
        Nov 18, 2015 to Mar 30, 2016
      • Employees · 1,267 to 1,457
        Nov 18, 2015 to Mar 30, 2016
      • Private funds · 12 to 11
        Nov 18, 2015 to Mar 30, 2016
      • Discretionary RAUM · $200B to $183B
        Nov 18, 2015 to Mar 30, 2016
      • RAUM · $200B to $183B
        Nov 18, 2015 to Mar 30, 2016
      • Private funds · 10 to 12
        Mar 31, 2015 to Nov 18, 2015
      • Accounts · 93 to 94
        Jul 30, 2014 to Mar 31, 2015
      • Advisory employees · 168 to 183
        Jul 30, 2014 to Mar 31, 2015
      • BD registered reps · 405 to 407
        Jul 30, 2014 to Mar 31, 2015
      • Employees · 1,285 to 1,267
        Jul 30, 2014 to Mar 31, 2015
      • Discretionary RAUM · $200B to $200B
        Jul 30, 2014 to Mar 31, 2015
      • RAUM · $200B to $200B
        Jul 30, 2014 to Mar 31, 2015
      • Accounts · 88 to 93
        Jun 13, 2013 to Mar 28, 2014
      • Advisory employees · 169 to 168
        Jun 13, 2013 to Mar 28, 2014
      Signals
      2 dated events
      • Carlin John Mcdonough (Director) no longer on Schedule A of Ofi Global Asset Management, Inc. (listed 2018-08-22, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Centennial Asset Management Corporation filed its initial SEC registration (Form ADV)
        Jun 1, 2012 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda 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