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O'SHAUGHNESSY ASSET MANAGEMENT, LLC
CRD 144594File 801-68177
APPROVED
Retail clients
Custody
Filing as of Dec 16, 2025
Feed vintage Oct 1, 2026
Regulatory AUM
$19.78B
Top 10% of cohort (national)
Discretionary AUM
$19.78B
Clients
11,156
11,156 accounts
Employees
103
Top 10% of cohort in CT
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Jul 25, 2007
- Principal office
- 100 FIRST STAMFORD PLACE, STAMFORD, CT, 06902
- Phone
- 203-975-3333
- Website
- HTTP://WWW.OSAM.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $19.78B
- Discretionary AUM
- $19.78B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 11,156
- Non-discretionary accounts
- 0
- Total accounts
- 11,156
- AUM per client
- $1.8M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 344 | $1.81B |
| Non-U.S. persons | Fewer than 5 | $45.8M |
| Insurance companies | Fewer than 5 | $0 |
| Investment companies | 1 | $265.7M |
| Charitable organizations | 40 | $235.8M |
| Other investment advisers | Fewer than 5 | $0 |
| High net worth individuals | 10,734 | $16.00B |
| Pooled investment vehicles | 8 | $1.15B |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Pension and profit sharing plans | 18 | $69.8M |
| State or municipal government entities | 9 | $207.1M |
| Individuals (other than high net worth individuals) | Fewer than 5 | $0 |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — ASSETS UNDER ADVISEMENT (FOR UMA)
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for investment companies
- 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
- 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 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Custody | No | Yes | |
| Jan 1, 2026 | Employees | 81 | 103 | increased by22 |
| Jan 1, 2026 | Clients | 6,791 | 11,156 | increased by4,365 |
| Jan 1, 2026 | AUM | $12,599,503,777 | $19,782,138,121 | increased by$7,182,634,344 |
| Jan 1, 2026 | Accounts | 6,791 | 11,156 | increased by4,365 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 43 | 81 | increased by38 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 2,639 | 6,791 | increased by4,152 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $6,885,813,750 | $12,599,503,777 | increased by$5,713,690,027 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,639 | 6,791 | increased by4,152 |
| Aug 1, 2022 | Custody | Yes | No | |
| Mar 1, 2022 | Employees | 35 | 43 | increased by8 |
| Mar 1, 2022 | Clients | 1,843 | 2,639 | increased by796 |
| Mar 1, 2022 | AUM | $4,825,829,604 | $6,885,813,750 | increased by$2,059,984,146 |
| Mar 1, 2022 | Accounts | 1,843 | 2,639 | increased by796 |
| 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 “O'SHAUGHNESSY ASSET” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“O'SHAUGHNESSY 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.