Firms by custodian
Registered investment advisers that custody at Oppenheimer &
2 SEC-registered advisers report Oppenheimer & as a custodian holding 10% or more of separately managed account assets in Form ADV Schedule D, Section 5.K.(3). Listed by regulatory assets under management.
2 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Oppenheimer &CRD 249 | New York, NY | $36.71B | 1,219 | 39,036 |
| Oppenheimer Asset ManagementCRD 105559 | New York, NY | $21.33B | 129 | 43,537 |
Oppenheimer &CRD 249$36.71B
- Headquarters
- New York, NY
- Advisory staff
- 1,219
- Clients
- 39,036
Oppenheimer Asset ManagementCRD 105559$21.33B
- Headquarters
- New York, NY
- Advisory staff
- 129
- Clients
- 43,537
Figures are from each firm's most recent Form ADV and are dated on its profile. Listing here is a matter of public record, not a recommendation.
About this list
A custodian holds client accounts; the adviser directs them but does not take possession of the money. Form ADV Schedule D, Section 5.K.(3) requires an adviser to name every custodian holding 10% or more of its separately managed account assets, which is where this list comes from.
A firm may use several custodians, so it can appear on more than one of these lists, and smaller custodial relationships below the 10% threshold are not reported at all. Naming Oppenheimer & here says only what the filing says, and implies nothing about either firm's service.