# Oppenheimer Investment Management LLC

> 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.

- CRD: 133243
- Filed as: OPPENHEIMER INVESTMENT MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/133243
- AdvisorCensus page: https://advisorcensus.com/firm/oppenheimer-investment-management-llc-new-york-ny-133243

## Quick answers

**How is Oppenheimer Investment Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Oppenheimer Investment Management LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is Oppenheimer Investment Management LLC located?**
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).

**Is Oppenheimer Investment Management LLC registered with the SEC or a state?**
Oppenheimer Investment Management LLC is an SEC-registered investment advisory firm, registered since 2004. Status as filed: Approved. CRD 133243.

**How much does Oppenheimer Investment Management LLC manage?**
Oppenheimer Investment Management LLC reports $929,416,169 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary).

**How have Oppenheimer Investment Management LLC's assets and staff changed since 2021?**
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.

**What types of clients does Oppenheimer Investment Management LLC serve?**
By number of clients on Form ADV Item 5.D: other (20); insurance companies (14); charitable organizations (11).

**Which custodians does Oppenheimer Investment Management LLC use?**
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.

**Does Oppenheimer Investment Management LLC report any disciplinary disclosures?**
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

**Does Oppenheimer Investment Management LLC state an account minimum?**
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.)"

**What changed in Oppenheimer Investment Management LLC's recent Form ADV filings?**
In the November 2025 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 5, 2026)

- Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)

> The minimum account size for all OIM accounts is $1 million dollars. (Minimum account size may be waived at the discretion of OIM.)

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- U.S. Bank

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: $929,416,169
- Discretionary: $929,416,169
- 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 | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2 | $17,341,270 |
| Charitable organizations | 11 | $72,082,751 |
| State or municipal government entities (including government pension plans) | 3 | $169,537,111 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 14 | $359,747,424 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 11 | $44,433,501 |
| Other | 20 | $266,274,112 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2004 (21 years)
- Employees: 8 total, 7 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, CA, DC, FL, GA, IL, IN, MI, NY, PA
- Disclosures (Item 11): Reports 8 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 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?
- 11.D(2): 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?
- 11.D(4): 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?
- 11.E(1): 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?
- 11.E(2): 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?
- 11.G: 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?

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/133243

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Carmel, IN

### Websites listed on Form ADV (Item 1.I)
- [oppenheimer.com/asset-management/oim](https://oppenheimer.com/asset-management/oim)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $800,106,192 | 7 | August 11, 2021 |
| October 2022 | $868,613,810 | 7 | September 6, 2022 |
| October 2023 | $835,397,999 | 8 | March 9, 2023 |
| October 2024 | $852,193,392 | 7 | March 7, 2024 |
| October 2025 | $915,566,580 | 8 | July 21, 2025 |
| October 2026 | $929,416,169 | 8 | March 19, 2026 |

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.

## Changes in the filing (last 12 months)

### 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. Oppenheimer Investment Management LLC (CRD 133243): Form ADV filing data as of October 2026.