Asset manager · New York, NY
Oppenheimer Investment Management LLC
SEC-registered investment adviser · CRD 133243 · SEC 801-63615
At a glance
Oppenheimer Investment Management LLC is an SEC-registered investment adviser based in New York, New York, with $929 million in regulatory assets under management as of its Form ADV filed March 19, 2026. Its largest client group by assets is insurance companies. By Form ADV it is a asset manager, ranked 1,393rd of 3,218 asset managers and 5,597th of 17,210 SEC-registered advisers by assets.
Main office 212-667-4156oppenheimer.comAs filed on Form ADV
- Regulatory AUM
- $929M
- Rank among asset managers
- #1,393 of 3,218
- Rank among all SEC RIAs
- #5,597 of 17,210
- Rank in New York
- #1,190 of 2,591
- Clients
- 61
- Accounts
- 61
- Discretionary
- 100% of AUM
- Employees
- 8
- Advisory staff
- 7
- Offices
- 2
Owners and executives on its Form ADV
- Albert Grinsfelder LowenthalExecutive Chairman
- Bryan E. McKigneyManaging Director
- Dennis Patrick McNamaraSecretary
- Lawrence KurtzChief Compliance Officer
- Brad Michael WatkinsSenior VP, Chief Financial Officer
- Robert Steven LowenthalChief Executive Officer
- Peter M. CadaretPresident
- Svetlana MilinaSenior Vice President
- Dominic Thomas ValentinoManaging Director - Compliance
Custody and brokerage
Broker-dealer
Hybrid RIA
Oppenheimer Investment Management LLC is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Oppenheimer & Co. Inc., Oppenheimer Europe LTD., Oppenheimer Investments Asia Limited and Oppenheimer Israel (opco) LTD.
- Oppenheimer & Co. Inc. ↗CRD 249
- Oppenheimer Europe LTD.
- Oppenheimer Investments Asia Limited
- Oppenheimer Israel (opco) LTD
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Insurance companies | 14 | $360M | 39% |
| Other | 20 | $266M | 29% |
| State or municipal government entities | 3 | $170M | 18% |
| Charitable organizations | 11 | $72M | 8% |
| Corporations or other businesses | 11 | $44M | 5% |
| Pension and profit sharing plans | 2 | $17M | 2% |
Disciplinary disclosures
Oppenheimer Investment Management LLC answers yes to 13 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗oppenheimer.com ↗
AtlasMembers
The full record on Oppenheimer Investment 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 1,006 peers of its type and size
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- Owners and executives, with titles and stakes
- 9 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 Oppenheimer Investment Management LLC manage?
Oppenheimer Investment Management LLC reports $929 million in regulatory assets under management across 61 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 19, 2026.
What kind of firm is Oppenheimer Investment Management LLC?
Oppenheimer Investment Management LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. A public reporting company controls it.
Who are Oppenheimer Investment Management LLC’s clients?
By assets, its largest client types are insurance companies ($360 million, 14 clients); other ($266 million, 20 clients); state or municipal government entities ($170 million, 3 clients).
Does Oppenheimer Investment Management LLC have any disciplinary history?
Oppenheimer Investment Management LLC answers yes to 13 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Oppenheimer Investment 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 (2026-03-19), 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 →