Ia-Cco · Oppenheimer Asset Management
Brian A. Roth
CRD 1424322 · Named on Form ADV at 2 SEC-registered advisers
At a glance
Oppenheimer Asset Management, an SEC-registered wealth manager based in New York, NY with $21.3 billion in regulatory assets, lists Brian A. Roth on its Form ADV as Ia-Cco. The SEC filings also name Brian at 1 other registered adviser.
Firms and roles
- Oppenheimer Asset ManagementIa-CcoWealth manager · New York, NY · $21B in regulatory assets
- Oppenheimer Alternative Investment Management, LLCCco-IaPrivate fund adviser · New York, NY · $178M in regulatory assets
AtlasMembers
Brian’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- Locked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (9)
- Albert Grinsfelder LowenthalExecutive Chairman/director, Oppenheimer Asset Management
- Dennis Patrick McNamaraSecretary/director, Oppenheimer Asset Management
- Bryan E. McKigneyDirector, Oppenheimer Asset Management
- Robert Steven LowenthalCeo/director, Oppenheimer Asset Management
- Mark E. MontuschiChief Operations Officer, Oppenheimer Asset Management
4 more people named with Brian on the same filings, with titles and firms. Free in Atlas with a free account.
See all 9 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Brian’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.