Wealth manager, independent · New York, NY
Oberon Asset Management, LLC
SEC-registered investment adviser · CRD 123494 · SEC 801-71358
At a glance
Oberon Asset Management, LLC is an SEC-registered investment adviser based in New York, New York, with $233 million in regulatory assets under management as of its Form ADV filed May 1, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 47 individual clients. By Form ADV it is a wealth manager, ranked 5,264th of 8,915 wealth managers and 11,461st of 17,210 SEC-registered advisers by assets.
Main office 917-237-0147oberonasset.comAs filed on Form ADV
- Regulatory AUM
- $233M
- Rank among wealth managers
- #5,264 of 8,915
- Rank among all SEC RIAs
- #11,461 of 17,210
- Rank in New York
- #1,852 of 2,591
- Individual clients
- 47
- High-net-worth clients
- 40
- Accounts
- 108
- Discretionary
- 100% of AUM
- Employees
- 4
- Advisory staff
- 4
- Offices
- 1
Owners and executives on its Form ADV
- Daniel H BaldiniMember
- Daniel H BaldiniChief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 40 | $210M | 90% |
| Pooled investment vehicles | 1 | $17M | 7% |
| Individuals | 7 | $3M | 1% |
| Pension and profit sharing plans | – | $1M | <1% |
| Corporations or other businesses | – | $1M | <1% |
Private funds
Oberon Asset Management, LLC reports 1 private funds with $18M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Oberon 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 pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗oberonasset.com ↗
AtlasMembers
The full record on Oberon 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
- Locked
- Growth over one, three and five years
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- Rank against 6,246 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Oberon Asset Management, LLC manage?
Oberon Asset Management, LLC reports $233 million in regulatory assets under management across 108 accounts, 100% of it on a discretionary basis, on its Form ADV filed May 1, 2026.
What kind of firm is Oberon Asset Management, LLC?
Oberon 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.
Who are Oberon Asset Management, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($210 million, 40 clients); pooled investment vehicles ($17 million, 1 clients); individuals ($3 million, 7 clients).
Does Oberon Asset Management, LLC manage private funds?
Yes. It reports 1 private funds with $18 million in gross assets, including hedge funds.
Does Oberon Asset Management, LLC have any disciplinary history?
Oberon 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 Oberon 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 (2026-05-01), 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 →