Oppenheimer Investment Management Llc
- Regulatory AUM
- $929M
- Discretionary
- $929M
- Clients
- 61
- Avg AUM / client
- $15.2M
- Accounts
- 61
- Employees
- 8
AUM over time
Annual snapshots from Form ADV filings · as of Mar 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pension and profit sharing plans | 2 | $17.3M | 1.87% |
| Charitable organizations | 11 | $72.1M | 7.76% |
| State or municipal government entities | 3 | $170M | 18.2% |
| Insurance companies | 14 | $360M | 38.7% |
| Corporations and other businesses | 11 | $44.4M | 4.78% |
| Other | 20 | $266M | 28.6% |
People (7)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lowenthal, Albert, Grinsfelder | Chairman | Oct 2004 (22y) | Less than 5% | |
| Mcnamara, Dennis, Patrick | Secretary | Oct 2004 (22y) | Less than 5% | |
| Kaback, Deborah | Chief Legal Officer | Oct 2005 (21y) | Less than 5% | |
| Mckigney, Bryan, Edward | President | Apr 2015 (11y) | Less than 5% | |
| Siegel, Douglas, Thornley | Global Compliance Officer | Feb 2016 (11y) | Less than 5% | |
| Kurtz, Lawrence | Chief Compliance Officer | Feb 2019 (8y) | Less than 5% | |
| Watkins, Brad, Michael | Senior Vp, Chief Financial Officer | Aug 2022 (4y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Oppenheimer Asset Management | Direct Owner | Oct 2004 | A | 75% or more |
| E.A. Viner International Co. | 100% Owner | Oct 2003 | B | ≈ 56.25% – 100% via Oppenheimer Asset Management |
| Oppenheimer Holdings Inc. | 100% Owner | Oct 1983 | B | ≈ 42.19% – 100% via E.A. Viner International Co. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- E.A. Viner International Co.: 75% – 100% of Oppenheimer Asset Management × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Oppenheimer Holdings Inc.: 75% – 100% of E.A. Viner International Co. × 75% – 100% of Oppenheimer Asset Management × 75% – 100% direct ≈ 42.19% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/19/2026 | 1.53 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- U.S. Bank $565M (61% of AUM) Mar 2026
- Comerica Bank Trust National Association $134M (15% of AUM) Oct 2025
- BNY Mellon $106M (13% of AUM) Aug 2021
- RBC $79.7M (10% of AUM) Oct 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 19, 2026.
View current Form ADV (SEC/IAPD) ↗