{
  "crd_number": 133243,
  "slug": "oppenheimer-investment-management-llc-new-york-ny-133243",
  "primary_business_name": "OPPENHEIMER INVESTMENT MANAGEMENT LLC",
  "legal_name": "OPPENHEIMER INVESTMENT MANAGEMENT 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": "2004-12-03",
  "years_registered": 21,
  "period": "2026-10-01",
  "filing_date": "2026-03-19",
  "carried_forward": false,
  "raum_total": 929416169.0,
  "raum_discretionary": 929416169.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 8,
  "advisory_employees": 7,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 266274112.0,
      "count": 20,
      "description": "RELIGIOUS ORGANIZATIONS & TRUSTS"
    },
    "charitable": {
      "raum": 72082751.0,
      "count": 11
    },
    "individuals": {
      "raum": 0.0,
      "count": 0
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 169537111.0,
      "count": 3,
      "fewer_than_5": true
    },
    "insurance_companies": {
      "raum": 359747424.0,
      "count": 14
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 17341270.0,
      "count": 2,
      "fewer_than_5": true
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 0.0,
      "count": 0
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 44433501.0,
      "count": 11
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 8,
  "states_registered": [
    "AL",
    "CA",
    "DC",
    "FL",
    "GA",
    "IL",
    "IN",
    "MI",
    "NY",
    "PA"
  ],
  "websites": [
    "https://oppenheimer.com/asset-management/oim"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/133243",
  "disclosure_items": [
    {
      "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?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.E(1)",
      "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.G",
      "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/oppenheimer-investment-management-llc-new-york-ny-133243",
  "display_name": "Oppenheimer Investment Management LLC",
  "summary": "Oppenheimer Investment Management LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2004, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 19, 2026.",
  "citation": "AdvisorCensus. Oppenheimer Investment Management LLC (CRD 133243): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Oppenheimer Investment Management LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Oppenheimer Investment Management LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Oppenheimer Investment Management LLC located?",
      "a": "Oppenheimer Investment Management LLC's principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Oppenheimer Investment Management LLC registered with the SEC or a state?",
      "a": "Oppenheimer Investment Management LLC is an SEC-registered investment advisory firm, registered since 2004. Status as filed: Approved. CRD 133243."
    },
    {
      "q": "How much does Oppenheimer Investment Management LLC manage?",
      "a": "Oppenheimer Investment Management LLC reports $929,416,169 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary)."
    },
    {
      "q": "How have Oppenheimer Investment Management LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Oppenheimer Investment Management LLC: Regulatory assets under management: $800,106,192 in the October 2021 data and $929,416,169 in the October 2026 data, up 16%. Total employees: 7 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Oppenheimer Investment Management LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: other (20); insurance companies (14); charitable organizations (11)."
    },
    {
      "q": "Which custodians does Oppenheimer Investment Management LLC use?",
      "a": "Oppenheimer Investment Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists U.S. Bank as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Oppenheimer Investment Management LLC report any disciplinary disclosures?",
      "a": "Reports 8 disclosure items on Form ADV Item 11: yes answers to 8 questions about regulatory matters (11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(4), 11.E(1), 11.E(2), 11.G). 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/133243"
    },
    {
      "q": "Does Oppenheimer Investment Management LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 5, 2026 says: \"The minimum account size for all OIM accounts is $1 million dollars. (Minimum account size may be waived at the discretion of OIM.)\""
    },
    {
      "q": "What changed in Oppenheimer Investment Management LLC's recent Form ADV filings?",
      "a": "In the November 2025 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 800106192.0,
      "total_employees": 7,
      "filing_date": "2021-08-11"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 868613810.0,
      "total_employees": 7,
      "filing_date": "2022-09-06"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 835397999.0,
      "total_employees": 8,
      "filing_date": "2023-03-09"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 852193392.0,
      "total_employees": 7,
      "filing_date": "2024-03-07"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 915566580.0,
      "total_employees": 8,
      "filing_date": "2025-07-21"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 929416169.0,
      "total_employees": 8,
      "filing_date": "2026-03-19"
    }
  ],
  "recent_changes": [
    {
      "period": "2025-11-01",
      "period_label": "November 2025",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 5, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$1,000,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "The minimum account size for all OIM accounts is $1 million dollars. (Minimum account size may be waived at the discretion of OIM.)"
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 1000000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "The minimum account size for all OIM accounts is $1 million dollars. (Minimum account size may be waived at the discretion of OIM.)"
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "U.S. Bank",
      "name_as_filed": "U.S. BANK",
      "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/oppenheimer-investment-management-llc-new-york-ny-133243.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": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "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": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 2,
      "fewer_than_5": true,
      "raum": 17341270.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 11,
      "fewer_than_5": false,
      "raum": 72082751.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 3,
      "fewer_than_5": true,
      "raum": 169537111.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 14,
      "fewer_than_5": false,
      "raum": 359747424.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 11,
      "fewer_than_5": false,
      "raum": 44433501.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 20,
      "fewer_than_5": false,
      "raum": 266274112.0
    }
  ],
  "disclosure_line": "Reports 8 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/133243",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}