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OPPENHEIMER ASSET MANAGEMENT
Legal name: OPPENHEIMER ASSET MANAGEMENT INC.
CRD 105559File 801-31427
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$21.33B
Top 10% of cohort (national)
Discretionary AUM
$16.33B
Non-discretionary $5.00B
Clients
43,296
43,537 accounts
Employees
129
Top 10% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Mar 17, 1988
- Principal office
- 85 BROAD STREET, NEW YORK, NY, 10004
- Phone
- 212-668-8000
- Website
- http://WWW.OPPENHEIMER.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $21.33B
- Discretionary AUM
- $16.33B
- Non-discretionary AUM
- $5.00B
- Discretionary accounts
- 29,095
- Non-discretionary accounts
- 14,442
- Total accounts
- 43,537
- AUM per client
- $493K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 765 | $1.60B |
| Charitable organizations | 252 | $759.7M |
| High net worth individuals | 2,034 | $4.35B |
| Pooled investment vehicles | 3 | $82.6M |
| Pension and profit sharing plans | 470 | $400.9M |
| State or municipal government entities | 6 | $7.0M |
| Individuals (other than high net worth individuals) | 39,766 | $13.12B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Publications
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11G
- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11D4
- Q11E1
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 43,537 | 43,296 | decreased by241 |
| Apr 1, 2026 | Employees | 134 | 129 | decreased by5 |
| Apr 1, 2026 | Clients | 44,391 | 43,537 | decreased by854 |
| Apr 1, 2026 | AUM | $19,969,672,691 | $21,327,096,828 | increased by$1,357,424,137 |
| Apr 1, 2026 | Accounts | 44,391 | 43,537 | decreased by854 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 44,669 | 44,391 | decreased by278 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $19,882,272,864 | $19,969,672,691 | increased by$87,399,827 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 44,669 | 44,391 | decreased by278 |
| Apr 1, 2022 | Clients | 40,899 | 44,669 | increased by3,770 |
| Apr 1, 2022 | AUM | $16,899,839,177 | $19,882,272,864 | increased by$2,982,433,687 |
| Apr 1, 2022 | Accounts | 40,899 | 44,669 | increased by3,770 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “OPPENHEIMER ASSET” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“OPPENHEIMER ASSET” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.