{
  "crd_number": 336332,
  "slug": "o-connor-alternative-investments-llc-new-york-ny-336332",
  "primary_business_name": "O'CONNOR ALTERNATIVE INVESTMENTS, LLC",
  "legal_name": "O'CONNOR ALTERNATIVE INVESTMENTS, LLC",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2025-06-23",
  "years_registered": 1,
  "period": "2026-10-01",
  "filing_date": "2026-05-19",
  "carried_forward": false,
  "raum_total": 16368611483.0,
  "raum_discretionary": 16368611483.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 65,
  "advisory_employees": 17,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": null
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 0.0,
      "count": 0
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 36172166.0,
      "count": 1,
      "fewer_than_5": true
    },
    "investment_companies": {
      "raum": 2050325111.0,
      "count": 4
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 0.0,
      "count": 0
    },
    "pooled_investment_vehicles": {
      "raum": 13005220931.0,
      "count": 36
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 1276893275.0,
      "count": 1,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 4,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "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",
    "WY"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/336332",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/o-connor-alternative-investments-llc-new-york-ny-336332",
  "display_name": "O'Connor Alternative Investments, LLC",
  "summary": "O'Connor Alternative Investments, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2025, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated May 19, 2026.",
  "citation": "AdvisorCensus. O'Connor Alternative Investments, LLC (CRD 336332): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is O'Connor Alternative Investments, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), O'Connor Alternative Investments, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees."
    },
    {
      "q": "Where is O'Connor Alternative Investments, LLC located?",
      "a": "O'Connor Alternative Investments, LLC's principal office is in New York, NY, according to its Form ADV; the June 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is O'Connor Alternative Investments, LLC registered with the SEC or a state?",
      "a": "O'Connor Alternative Investments, LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 336332."
    },
    {
      "q": "How much does O'Connor Alternative Investments, LLC manage?",
      "a": "O'Connor Alternative Investments, LLC reports $16,368,611,483 in regulatory assets under management in its Form ADV filing dated May 19, 2026 (100% discretionary)."
    },
    {
      "q": "How have O'Connor Alternative Investments, LLC's assets and staff changed since 2025?",
      "a": "In the Form ADV data for O'Connor Alternative Investments, LLC: Total employees: 5 in October 2025 and 65 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does O'Connor Alternative Investments, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (36); investment companies (4); insurance companies (1)."
    },
    {
      "q": "Which custodians does O'Connor Alternative Investments, LLC use?",
      "a": "O'Connor Alternative Investments, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Goldman Sachs & Co. LLC and JP Morgan Securities LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does O'Connor Alternative Investments, LLC report any disciplinary disclosures?",
      "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/336332"
    },
    {
      "q": "What changed in O'Connor Alternative Investments, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $12,387,662,598 to $16,368,611,483 (+32%). Employees performing advisory functions went from 12 to 17."
    }
  ],
  "filing_history": [
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 5,
      "filing_date": "2025-07-01"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 16368611483.0,
      "total_employees": 65,
      "filing_date": "2026-05-19"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $12,387,662,598 to $16,368,611,483 (+32%).",
        "Employees performing advisory functions went from 12 to 17."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Regulatory assets under management went from $10,267,073,054 to $12,387,662,598 (+21%).",
        "Employees performing advisory functions went from 4 to 12."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Employees performing advisory functions went from 1 to 4.",
        "Added an office in Chicago, IL.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2025-11-01",
      "period_label": "November 2025",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Goldman Sachs & Co. LLC",
      "name_as_filed": "GOLDMAN SACHS & CO. LLC",
      "affiliated": false
    },
    {
      "name": "JP Morgan Securities LLC",
      "name_as_filed": "JP MORGAN SECURITIES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/o-connor-alternative-investments-llc-new-york-ny-336332.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 4,
      "fewer_than_5": false,
      "raum": 2050325111.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 36,
      "fewer_than_5": false,
      "raum": 13005220931.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 1,
      "fewer_than_5": true,
      "raum": 36172166.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 1,
      "fewer_than_5": true,
      "raum": 1276893275.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/336332",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}