O'Shaughnessy Asset Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, and portfolio management for institutions.
O'Shaughnessy Asset Management reports 11,156 clients. They include 10,734 high-net-worth individuals, 344 corporations and other businesses, and 40 charitable organizations. Of its assets, 100.0% ($19.8B across 11,156 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $5.03B. Of its clients, 1% are outside the U.S. It advised 1,369 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 0% | 0% |
| High-net-worth individuals | 96% | 81% |
| Banking or thrift institutions | 0% | 0% |
| Investment companies | <1% | 1% |
| Pooled investment vehicles | <1% | 6% |
| Other client typesPension and profit-sharing plans; Charitable organizations; State or municipal government entities; Other investment advisers; Insurance companies; Sovereign wealth funds and foreign official institutions; Corporations and other businesses | 4% | 12% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | Fewer than 5 | $0 | 0.0% | — |
| High-net-worth individuals | 10,734 | $16B | 80.9% | $1.49M |
| Banking or thrift institutions | Fewer than 5 | $0 | 0.0% | — |
| Investment companies | 1 | $266M | 1.3% | $266M |
| Pooled investment vehicles | 8 | $1.15B | 5.8% | $143M |
| Pension and profit-sharing plans | 18 | $69.8M | 0.4% | $3.88M |
| Charitable organizations | 40 | $236M | 1.2% | $5.9M |
| State or municipal government entities | 9 | $207M | 1.0% | $23M |
| Other investment advisers | Fewer than 5 | $0 | 0.0% | — |
| Insurance companies | Fewer than 5 | $0 | 0.0% | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | $45.8M | 0.2% | $22.9M |
| Corporations and other businesses | 344 | $1.81B | 9.2% | $5.26M |
| Total | 11,156 | $19.8B | 100% | — |
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 10,734
- Regulatory AUM
- $16B
- AUM share
- 80.9%
- Avg. per client
- $1.49M
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 1
- Regulatory AUM
- $266M
- AUM share
- 1.3%
- Avg. per client
- $266M
- Clients
- 8
- Regulatory AUM
- $1.15B
- AUM share
- 5.8%
- Avg. per client
- $143M
- Clients
- 18
- Regulatory AUM
- $69.8M
- AUM share
- 0.4%
- Avg. per client
- $3.88M
- Clients
- 40
- Regulatory AUM
- $236M
- AUM share
- 1.2%
- Avg. per client
- $5.9M
- Clients
- 9
- Regulatory AUM
- $207M
- AUM share
- 1.0%
- Avg. per client
- $23M
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $45.8M
- AUM share
- 0.2%
- Avg. per client
- $22.9M
- Clients
- 344
- Regulatory AUM
- $1.81B
- AUM share
- 9.2%
- Avg. per client
- $5.26M
Total
- Clients
- 11,156
- Regulatory AUM
- $19.8B
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 1,369
- Private funds advised
- 0
O'Shaughnessy Asset Management is paid through a percentage of assets under management, performance-based fees and other compensation; its fees and minimums are set out in its brochures on the SEC website.
Franklin Resources, Inc. owns 75% or more of O'Shaughnessy Asset Management. The leadership team of O'Shaughnessy Asset Management includes President Christopher Loveless, Chief Investment Officer Ehren Stanhope and Chief Operating Officer Kristopher Smith. It has 103 employees, 53 of them in advisory roles.
Leadership
- Christopher LovelessPresident/Principal
- Kristopher SmithChief Operating Officer/Principal
- Raymond Amoroso IIIChief Compliance Officer/Principal
- Scott BartoneChief Product Officer/Co-Head of Investment Management/Portfolio Manager/Principal
- Bradley BerggrenCo-CIO of Canvas Managed Options Strategies/Portfolio Manager/Principal
- Erin FoleyDirector of Trading/Principal
- Rajat GuptaChief Technology Officer/Principal
- Patrick O'ShaughnessyChairman Emeritus
- Jonathan OrseckCo-CIO of Canvas Managed Options Strategies/Portfolio Manager/Principal
- Roger ParadisoExecutive Chairman/Principal
- Ari RosenbaumDirector of Private Wealth Solutions/Principal
- Claudine SpenceDirector of Client Service/Principal
- Ehren StanhopeChief Investment Strategist/Co-Head of Investment Management/Portfolio Manager/Principal
Investment adviser representatives
58 representatives listed in the SEC register as of 9 October 2026.
- Paul Jon Ackerley
- Richard S Bastien
- Nicholas Vashishta Bhaskar
- Christian Frederick Boinske
- Thomas Patrick Canals
- Robert Francis Cannon
- William Alfred Carinci
- Lenny Castagna
- Kristen Sue Clark
- Christian NMN Coratti
- Andrew John Dillon
- Abbey Elizabeth Duncan
- Mary Erwin
- Thomas James Farrell
- Laura Ann Foster
- Anthony Jordan Garbarino
- Jeffrey Austin Gebauer
- Joseph Southern Giroux
- Peter Donald Hayes
- Mark Joseph Hebeka
- John Angus Hodgson
- Andrew Eastman Iles
- Kevin Daniel Jacobs
- Xiangyu NMN Lai
- Kelly Rooney Lavin
- Michael James Luther
- Euan Mackay
- Luca Vincent Massucci
- Rohan Mathew
- Patrick J McStay
- Mohammed Azizur Miah
- Jacob Edward Moseley
- Daniel H Nitiutomo
- Claire McConnell Noel
- Andrea Marie OLoughlin
- Jai Aditya Padalkar
- Maksim Vladislavovich Papenkov
- Maxwell Lawrence Pohlman
- Katherine Morgan Riley
- Beau Matthew Robinette
- Ronald John Schuler
- Emily Claire Sgammato
- John Edward Shetterly
- Christopher Thomas Takacs
- Julie Anne Marie Samaniego Villena
- Anthony Vollmer
- Kaylee L Wolcott
- Jamie A Zelem
- Haoqi NMN Zhang
Staff
- 103 employees
- 53 in advisory functions
- 53 state-registered reps
- 1 soliciting firm
- Owns 75% or more of O'Shaughnessy Asset Management, LLC
Franklin Resources, Inc.
Control person · since December 2021
O'Shaughnessy Asset Management’s regulatory assets grew 4.1× from $4.83B (March 2021) to $19.8B (December 2025); clients rose from 1,843 to 11,156 and employees from 35 to 103.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| December 2025 | $19.8B | 11,156 | 103 | 1 |
| December 2024 | $12.6B | 6,791 | 81 | 1 |
| April 2024 | $7.98B | 4,197 | 69 | 1 |
| February 2023 | $6.3B | 3,430 | 60 | 1 |
| July 2022 | $6.89B | 2,639 | 43 | 1 |
| March 2021 | $4.83B | 1,843 | 35 | 1 |
Besides its headquarters, O'Shaughnessy Asset Management has 0 offices, with 1 listed address in Connecticut.
Connecticut · 1 listed address
- 100 First Stamford Place, StamfordHQ
Contact and registration details
- Legal name
- O'Shaughnessy Asset Management, LLC
- Headquarters
- 100 First Stamford Place, Stamford, CT 06902
- Website
- osam.com
- Phone
- 203-975-3333
- SEC file
- 801-68177
- Structure
- Delaware LLC
- Fiscal year end
- September
O'Shaughnessy Asset Management does not have custody of client assets.
At year end, O'Shaughnessy Asset Management’s separately managed accounts were mostly in stocks (90%). Its reported 13F holdings for the quarter ended 30 June 2026 total $21.7B across 2,618 positions; the largest are Apple Inc. (5.4%), Nvidia Corporation (3.8%) and Microsoft Corp. (2.0%).
What the accounts hold
- Stocks90%
- Funds9%
- Cash1%
Reported 13F holdings
- $21.7B
- Reported 13F value
- 2,618
- Positions
- 21.1%
- In the 10 largest
- +7.8%
- Value vs. prior quarter
- Apple Inc.5.4%
- Nvidia Corporation3.8%
- Microsoft Corp.2.0%
- Alphabet Inc. · Cap Stk CL A1.9%
- Amazon Com Inc.1.8%
- Broadcom Inc.1.5%
- Alphabet Inc. · Cap Stk CL C1.4%
- Micron Technology Inc.1.2%
- iShares TR · Core US Aggbd ET1.2%
- JPMORGAN Chase & CO1.0%
Together, the ten largest are 21.1% of reported value.
How many clients does O'Shaughnessy Asset Management have?
O'Shaughnessy Asset Management has 11,156 clients and manages $19.8 billion for them, as of December 2025. They include 10,734 high-net-worth individuals, 344 corporations and other businesses, and 40 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 16 December 2025
What services does O'Shaughnessy Asset Management offer?
O'Shaughnessy Asset Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How many financial advisors does O'Shaughnessy Asset Management have?
O'Shaughnessy Asset Management has 53 investment adviser representatives registered with state securities authorities, out of 103 employees, and 53 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does O'Shaughnessy Asset Management invest in?
At the end of its last fiscal year, O'Shaughnessy Asset Management’s separately managed accounts held 90% exchange-traded equities, 9% registered funds (mutual funds, ETFs, BDCs) and 1% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns O'Shaughnessy Asset Management?
O'Shaughnessy Asset Management’s direct owner is Franklin Resources, Inc. (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 16 December 2025
How does O'Shaughnessy Asset Management get paid?
O'Shaughnessy Asset Management is paid through a percentage of assets under management, performance-based fees and other compensation. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact O'Shaughnessy Asset Management?
O'Shaughnessy Asset Management’s main office is at 100 First Stamford Place, Stamford, CT 06902. Its phone number is 203-975-3333. Its website is osam.com.