# O'Connor Alternative Investments, LLC

> 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.

- CRD: 336332
- Filed as: O'CONNOR ALTERNATIVE INVESTMENTS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: May 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/336332
- AdvisorCensus page: https://advisorcensus.com/firm/o-connor-alternative-investments-llc-new-york-ny-336332

## Quick answers

**How is O'Connor Alternative Investments, LLC compensated?**
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.

**Where is O'Connor Alternative Investments, LLC located?**
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).

**Is O'Connor Alternative Investments, LLC registered with the SEC or a state?**
O'Connor Alternative Investments, LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 336332.

**How much does O'Connor Alternative Investments, LLC manage?**
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).

**How have O'Connor Alternative Investments, LLC's assets and staff changed since 2025?**
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.

**What types of clients does O'Connor Alternative Investments, LLC serve?**
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).

**Which custodians does O'Connor Alternative Investments, LLC use?**
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.

**Does O'Connor Alternative Investments, LLC report any disciplinary disclosures?**
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

**What changed in O'Connor Alternative Investments, LLC's recent Form ADV filings?**
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.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Custodians (Schedule D, Section 5.K(3))
- Goldman Sachs & Co. LLC
- JP Morgan Securities LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $16,368,611,483
- Discretionary: $16,368,611,483
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 4 | $2,050,325,111 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 36 | $13,005,220,931 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 1 | $36,172,166 |
| Sovereign wealth funds and foreign official institutions | 1 | $1,276,893,275 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | Not reported | $0 |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 2025 (1 year)
- Employees: 65 total, 17 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/336332

### Other offices (Schedule D, Section 1.F), as of the June 2026 filing
- Chicago, IL

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | Not reported | 5 | July 1, 2025 |
| October 2026 | $16,368,611,483 | 65 | May 19, 2026 |

Total employees: 5 in October 2025 and 65 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- 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.

### March 2026
- 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.

### February 2026
- 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).

### November 2025
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. O'Connor Alternative Investments, LLC (CRD 336332): Form ADV filing data as of October 2026.