← Tributary

OPPENHEIMER ASSET MANAGEMENT

NEW YORK, NY · CRD 105559 · IAPD ↗ · oppenheimer.com · 212-668-8000

$21.33BRegulatory AUM
129Advisory reps
129Employees
0Clients
n/aPlanning clients
3Private funds
53States
10Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2026 — OPPENHEIMER ASSET MANAGEMENT shrank from 134 to 129 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
75
April 2026 — OPPENHEIMER ASSET MANAGEMENT now reports 3 private fund(s) ($82.6M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
55
February 2026 — OPPENHEIMER ASSET MANAGEMENT notice-filed in AK, AL, AR, CA, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
77
April 2025 — OPPENHEIMER ASSET MANAGEMENT grew from 127 to 134 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
April 2024 — OPPENHEIMER ASSET MANAGEMENT's Item 11 disclosure-reporting entries rose by 2 (8 -> 10).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

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