Wealth manager, public-company owned · Stamford, CT
O'shaughnessy Asset Management, LLC
SEC-registered investment adviser · CRD 144594 · SEC 801-68177
At a glance
O'shaughnessy Asset Management, LLC is an SEC-registered investment adviser based in Stamford, Connecticut, with $19.8 billion in regulatory assets under management as of its Form ADV filed December 16, 2025. Its largest client group by assets is high-net-worth individuals, and it reports 10,734 individual clients. By Form ADV it is a wealth manager (public-company owned), ranked 91st of 8,915 wealth managers and 878th of 17,210 SEC-registered advisers by assets.
Main office 203-975-3333LinkedInAs filed on Form ADV
- Regulatory AUM
- $20B
- Rank among wealth managers
- #91 of 8,915
- Rank among all SEC RIAs
- #878 of 17,210
- Rank in Connecticut
- #36 of 507
- Individual clients
- 10,734
- High-net-worth clients
- 10,734
- Accounts
- 11,156
- Discretionary
- 100% of AUM
- Employees
- 103
- Advisory staff
- 53
- Offices
- 1
Owners and executives on its Form ADV
- Christopher S. LovelessPresident/principal
- Raymond N. Amoroso IIIChief Compliance Officer/principal
- Ari M. RosenbaumDirector of Private Wealth Solutions/principal
- Erin M. FoleyDirector of Trading/principal
- Scott M. BartoneChief Product Officer/co-Head of Investment Management/portfolio Manager/principal
- Patrick W. O'ShaughnessyChairman Emeritus
- Ehren J. StanhopeChief Investment Strategist/co-Head of Investment Management/portfolio Manager/principal
- Claudine A. SpenceDirector of Client Service/principal
- Roger N. ParadisoExecutive Chairman/principal
- Rajat N. GuptaChief Technology Officer/principal
- Kristopher R. SmithChief Operating Officer/principal
- Bradley S. BerggrenCo-Cio of Canvas Managed Options Strategies/portfolio Manager/principal
Custody and brokerage
Custodian
O'shaughnessy Asset Management, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 10,734 | $16B | 81% |
| Corporations or other businesses | 344 | $1.8B | 9% |
| Pooled investment vehicles | 8 | $1.1B | 6% |
| Investment companies | 1 | $266M | 1% |
| Charitable organizations | 40 | $236M | 1% |
| State or municipal government entities | 9 | $207M | 1% |
| Pension and profit sharing plans | 18 | $70M | <1% |
| Sovereign wealth funds and foreign official institutions | 2 | $46M | <1% |
Disciplinary disclosures
O'shaughnessy Asset Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Performance-based fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on O'shaughnessy Asset Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 222 peers of its type and size
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- Owners and executives, with titles and stakes
- 13 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 2Locked
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Background
Questions
How much does O'shaughnessy Asset Management, LLC manage?
O'shaughnessy Asset Management, LLC reports $19.8 billion in regulatory assets under management across 11,156 accounts, 100% of it on a discretionary basis, on its Form ADV filed December 16, 2025.
What kind of firm is O'shaughnessy Asset Management, LLC?
O'shaughnessy Asset Management, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals. A public reporting company controls it.
Who are O'shaughnessy Asset Management, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($16.0 billion, 10,734 clients); corporations or other businesses ($1.8 billion, 344 clients); pooled investment vehicles ($1.1 billion, 8 clients).
Does O'shaughnessy Asset Management, LLC have any disciplinary history?
O'shaughnessy Asset Management, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is O'shaughnessy Asset Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2025-12-16), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →