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OPPENHEIMER INVESTMENT MANAGEMENT LLC
CRD 133243File 801-63615
APPROVED
Custody
Disclosure events
Filing as of Mar 19, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$929.4M
Above cohort median (national)
Discretionary AUM
$929.4M
Clients
41
61 accounts
Employees
8
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Dec 3, 2004
- Principal office
- 85 BROAD ST, NEW YORK, NY, 10004
- Phone
- 212-667-4156
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $929.4M
- Discretionary AUM
- $929.4M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 61
- Non-discretionary accounts
- 0
- Total accounts
- 61
- AUM per client
- $22.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 11 | $44.4M |
| Insurance companies | 14 | $359.7M |
| Charitable organizations | 11 | $72.1M |
| Pension and profit sharing plans | Fewer than 5 | $17.3M |
| State or municipal government entities | Fewer than 5 | $169.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11G
- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11D4
- Q11E1
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Custody | No | Yes | |
| Aug 17, 2026 | Clients | 61 | 41 | decreased by20 |
| Apr 1, 2026 | Clients | 65 | 61 | decreased by4 |
| Apr 1, 2026 | AUM | $915,566,580 | $929,416,169 | increased by$13,849,589 |
| Apr 1, 2026 | Accounts | 65 | 61 | decreased by4 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 7 | 8 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Custody | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 70 | 65 | decreased by5 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $868,613,810 | $915,566,580 | increased by$46,952,770 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 70 | 65 | decreased by5 |
| Apr 1, 2022 | Clients | 67 | 70 | increased by3 |
| Apr 1, 2022 | AUM | $800,106,192 | $868,613,810 | increased by$68,507,618 |
| Apr 1, 2022 | Accounts | 67 | 70 | increased by3 |
| 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 INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“OPPENHEIMER INVESTMENT” 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.