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OPPENHEIMER & CO. INC.
CRD 249File 801-887
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$36.71B
Top 10% of cohort (national)
Discretionary AUM
$14.23B
Non-discretionary $22.48B
Clients
37,822
39,036 accounts
Employees
2,806
Top 10% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Feb 9, 1955
- Principal office
- 85 BROAD STREET, 22ND FLOOR, NEW YORK, NY, 10004
- Phone
- 212-668-8000
- Website
- HTTP://WWW.OPPENHEIMER.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $36.71B
- Discretionary AUM
- $14.23B
- Non-discretionary AUM
- $22.48B
- Discretionary accounts
- 20,471
- Non-discretionary accounts
- 18,565
- Total accounts
- 39,036
- AUM per client
- $971K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 304 | $2.00B |
| Insurance companies | 12 | $141.8M |
| Charitable organizations | 191 | $420.9M |
| High net worth individuals | 1,229 | $5.73B |
| Pension and profit sharing plans | 267 | $459.6M |
| State or municipal government entities | Fewer than 5 | $95K |
| Individuals (other than high net worth individuals) | 35,818 | $16.85B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Commissions
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- Yes
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11G
- Q11A1
- Q11A2
- Q11B1
- Q11B2
- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11D3
- Q11D4
- Q11D5
- Q11E1
- Q11E2
- Q11E4
- Q11H1A
- Q11H1B
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 39,036 | 37,822 | decreased by1,214 |
| Apr 1, 2026 | Employees | 2,883 | 2,806 | decreased by77 |
| Apr 1, 2026 | Clients | 37,605 | 39,036 | increased by1,431 |
| Apr 1, 2026 | AUM | $32,418,994,154 | $36,710,705,748 | increased by$4,291,711,594 |
| Apr 1, 2026 | Accounts | 37,605 | 39,036 | increased by1,431 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 2,806 | 2,883 | increased by77 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 30,576 | 37,605 | increased by7,029 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $27,024,228,664 | $32,418,994,154 | increased by$5,394,765,490 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 30,576 | 37,605 | increased by7,029 |
| Apr 1, 2022 | Employees | 2,788 | 2,806 | increased by18 |
| Apr 1, 2022 | Clients | 27,780 | 30,576 | increased by2,796 |
| Apr 1, 2022 | AUM | $22,727,021,353 | $27,024,228,664 | increased by$4,297,207,311 |
| Apr 1, 2022 | Accounts | 27,780 | 30,576 | increased by2,796 |
| 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” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“OPPENHEIMER” 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.