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O'CONNOR ALTERNATIVE INVESTMENTS, LLC

NEW YORK, NY · CRD 336332 · IAPD ↗ · 212-915-1722

$16.37BRegulatory AUM
17Advisory reps
65Employees
0Clients
0Planning clients
13Private funds
53States
4Disclosures
fundSegment
ApprovedSEC status

Filing changes

51
April 2026 — O'CONNOR ALTERNATIVE INVESTMENTS, LLC reported RAUM up 32% ($12.39B -> $16.37B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
60
April 2026 — O'CONNOR ALTERNATIVE INVESTMENTS, LLC grew from 12 to 17 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
63
March 2026 — O'CONNOR ALTERNATIVE INVESTMENTS, LLC grew from 4 to 12 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
40
February 2026 — O'CONNOR ALTERNATIVE INVESTMENTS, LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
58
February 2026 — O'CONNOR ALTERNATIVE INVESTMENTS, LLC grew from 1 to 4 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
60
February 2026 — O'CONNOR ALTERNATIVE INVESTMENTS, LLC now reports 2 private fund(s) ($7.54B gross).
Firm reports private funds for the first time.
Fund administrationCompliance
45
August 2025 — CANTOR OCS ASSET MANAGEMENT, LLC is now doing business as O'CONNOR ALTERNATIVE INVESTMENTS, LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
85
July 2025 — CANTOR OCS ASSET MANAGEMENT, LLC (NEW YORK, NY) is newly SEC-registered with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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