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OPPENHEIMERFUNDS INC

ATLANTA, GA · CRD 104983 · IAPD ↗ · 404-892-0896

$827,684Regulatory AUM
4Advisory reps
15Employees
0Clients
n/aPlanning clients
1Private funds
8States
8Disclosures
fundSegment
ApprovedSEC status

Filing changes

29
April 2026 — OPPENHEIMERFUNDS INC notice-filed in GA, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
30
April 2026 — OPPENHEIMERFUNDS INC reported RAUM down 100% ($253.9M -> $827,684).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
30
April 2026 — OPPENHEIMERFUNDS INC moved its main office from NEW YORK, NY to ATLANTA, GA.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
35
April 2026 — OPPENHEIMERFUNDS INC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
38
December 2025 — OPPENHEIMERFUNDS INC's Item 11 disclosure-reporting entries rose by 1 (7 -> 8).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
48
April 2025 — OPPENHEIMERFUNDS INC reported RAUM up 29% ($197.0M -> $253.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
35
December 2024 — OPPENHEIMERFUNDS INC's Item 11 disclosure-reporting entries rose by 2 (5 -> 7).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
35
November 2024 — OPPENHEIMERFUNDS INC's Item 11 disclosure-reporting entries rose by 2 (3 -> 5).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
30
April 2024 — OPPENHEIMERFUNDS INC reported RAUM down 30% ($281.6M -> $197.0M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
35
April 2024 — OPPENHEIMERFUNDS INC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.