O'shaughnessy Asset Management, Llc
SEC-registered
Wealth Manager · Large ($10B–$100B)
CRD 144594
· SEC file 801-68177
· Stamford, CT
· CANVAS.OSAM.COM
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ADV data as of Dec 16, 2025
- Regulatory AUM
- $19.8B
- Discretionary
- $19.8B
- Clients
- 11,156
- Avg AUM / client
- $1.8M
- Accounts
- 11,156
- Employees
- 103
AUM over time
$4.4B
$19.8B
Mar 2012
Sep 2025
Annual snapshots from Form ADV filings · as of Dec 16, 2025
Asset allocation (SMA assets by investment type)
as of Dec 16, 2025
Exchange-traded equities
$17.8B
90%
Registered investment companies (funds/ETFs)
$1.8B
9%
Cash & equivalents
$198M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Investments (13F portfolio — 2,624 positions, $20,123,086,123)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Apple Inc | COM | $924,315,616 | 3,642,049 | 4.59% | 4.67% |
| 2 | Nvidia Corporation | COM | $826,018,568 | 4,736,345 | 4.1% | 4.18% |
| 3 | Microsoft Corp | COM | $486,822,783 | 1,315,133 | 2.42% | 2.46% |
| 4 | Alphabet Inc | CAP STK CL A | $381,036,267 | 1,325,067 | 1.89% | 1.93% |
| 5 | Amazon Com Inc | COM | $364,655,153 | 1,750,877 | 1.81% | 1.84% |
| 6 | Broadcom Inc | COM | $302,752,468 | 978,167 | 1.5% | 1.53% |
| 7 | Alphabet Inc | CAP STK CL C | $283,030,706 | 986,651 | 1.41% | 1.43% |
| 8 | Ishares Tr | CORE US AGGBD ET | $251,505,806 | 2,533,553 | 1.25% | 1.27% |
| 9 | State Str Spdr S&P 500 Etf T | TR UNIT | $240,716,848 | 370,140 | 1.2% | 1.22% |
| 10 | Meta Platforms Inc | CL A | $236,084,867 | 412,642 | 1.17% | 1.19% |
| 11 | Exxon Mobil Corp | COM | $219,843,901 | 1,295,791 | 1.09% | 1.11% |
| 12 | Jpmorgan Chase & Co | COM | $215,666,640 | 733,161 | 1.07% | 1.09% |
| 13 | Walmart Inc | COM | $193,741,707 | 1,558,913 | 0.96% | 0.98% |
| 14 | Tesla Inc | COM | $188,154,199 | 506,131 | 0.94% | 0.95% |
| 15 | Eli Lilly & Co | COM | $172,500,104 | 187,547 | 0.86% | 0.87% |
| 16 | Johnson & Johnson | COM | $168,898,018 | 690,959 | 0.84% | 0.85% |
| 17 | Berkshire Hathaway Inc Del | CL B NEW | $152,117,248 | 317,440 | 0.76% | 0.77% |
| 18 | Altria Group Inc | COM | $146,443,556 | 2,219,178 | 0.73% | 0.74% |
| 19 | Visa Inc | COM CL A | $144,447,145 | 477,922 | 0.72% | 0.73% |
| 20 | Taiwan Semiconductor Manufac | SPONSORED ADS | $138,346,592 | 409,370 | 0.69% | 0.7% |
| 21 | Hca Healthcare Inc | COM | $131,479,323 | 277,828 | 0.65% | 0.66% |
| 22 | Costco Wholesale Corporation | COM | $122,722,312 | 123,162 | 0.61% | 0.62% |
| 23 | Tapestry Inc | COM | $121,629,059 | 861,945 | 0.6% | 0.61% |
| 24 | Ishares Tr | 0-5 YR TIPS ETF | $120,318,464 | 1,163,284 | 0.6% | 0.61% |
| 25 | Chevron Corporation | COM | $115,939,726 | 560,366 | 0.58% | 0.59% |
Top 25 of 2,624 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 0 | $0 | — |
| High net worth individuals | 10,734 | $16.0B | 80.9% |
| Banking or thrift institutions | 0 | $0 | — |
| Investment companies | 1 | $266M | 1.34% |
| Pooled investment vehicles (non-investment companies) | 8 | $1.1B | 5.79% |
| Pension and profit sharing plans | 18 | $69.8M | 0.35% |
| Charitable organizations | 40 | $236M | 1.19% |
| State or municipal government entities | 9 | $207M | 1.05% |
| Other investment advisers | 0 | $0 | — |
| Insurance companies | 0 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 2 | $45.8M | 0.23% |
| Corporations and other businesses | 344 | $1.8B | 9.15% |
People (60)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ari Mark Rosenbaum | Director Of Private Wealth Solutions/Principal | Jul 2007 (19y) | Less than 5% | |
| Christopher Stratton Loveless | President/Principal | Jul 2007 (19y) | Less than 5% | |
| Erin Marie Foley | Director Of Trading/Principal | Sep 2007 (19y) | Less than 5% | |
| Amoroso Iii, Raymond, Nmn | Chief Compliance Officer/Principal | Jan 2008 (19y) | Less than 5% | |
| Scott Michael Bartone | Chief Product Officer/Co Head Of Investment Management/Portfolio Manager/Principal | CFA | Jun 2008 (18y) | Less than 5% |
| Patrick Walker O'shaughnessy | Chairman Emeritus | Jul 2008 (18y) | Less than 5% | |
| Claudine Antoinette Spence | Director Of Client Service/Principal | Aug 2008 (18y) | Less than 5% | |
| Ehren Jonathan Stanhope | Chief Investment Strategist/Co Head Of Investment Management/Portfolio Manager/Principal | CFA | Apr 2010 (16y) | Less than 5% |
| Gupta, Rajat, Nmn | Chief Technology Officer/Principal | Jun 2022 (4y) | Less than 5% | |
| Kristopher Ryan Smith | Chief Operating Officer/Principal | CFA | Jun 2022 (4y) | Less than 5% |
| Roger Nmn Paradiso | Executive Chairman/Principal | Jun 2022 (4y) | Less than 5% | |
| Lenny Castagna | Registered representative | Jan 2008 (19y) | ||
| Ronald John Schuler | Registered representative | May 2008 (18y) | ||
| Patrick J Mcstay | Registered representative | Mar 2015 (11y) | ||
| Paul Jon Ackerley | Registered representative | Apr 2016 (10y) | ||
| Daniel H Nitiutomo | Registered representative | CFA | Sep 2017 (9y) | |
| Andrew Eastman Iles | Registered representative | Jun 2019 (7y) | ||
| Thomas James Farrell | Registered representative | Jun 2020 (6y) | ||
| Maksim Vladislavovich Papenkov | Registered representative | Mar 2021 (5y) | ||
| Claire Mc Connell Noel | Registered representative | CFA | Jun 2021 (5y) | |
| Euan Mackay | Registered representative | CFA | Sep 2021 (5y) | |
| Kristen Sue Clark | Registered representative | CFA | Apr 2022 (4y) | |
| Andrea Marie O Loughlin | Registered representative | Jun 2022 (4y) | ||
| Thomas Patrick Canals | Registered representative | Sep 2022 (4y) | ||
| Laura Ann Foster | Registered representative | CFA | Oct 2022 (4y) | |
| Anthony Vollmer | Registered representative | Oct 2022 (4y) | ||
| Haoqi Nmn Zhang | Registered representative | CFA | Nov 2022 (4y) | |
| Nicholas Vashishta Bhaskar | Registered representative | Dec 2022 (4y) | ||
| Abbey Elizabeth Duncan | Registered representative | Dec 2022 (4y) | ||
| Christian Frederick Boinske | Registered representative | Jan 2023 (4y) | ||
| William Alfred Carinci | Registered representative | Mar 2023 (3y) | ||
| Mark Joseph Hebeka | Registered representative | Apr 2023 (3y) | ||
| Jeffrey Austin Gebauer | Registered representative | May 2023 (3y) | ||
| Kevin Daniel Jacobs | Registered representative | May 2023 (3y) | ||
| Julie Anne Marie Samaniego Villena | Registered representative | Jul 2023 (3y) | ||
| Christian Nmn Coratti | Registered representative | Aug 2023 (3y) | ||
| Jamie A Zelem | Registered representative | Oct 2023 (3y) | ||
| Joseph Southern Giroux | Registered representative | Jan 2024 (3y) | ||
| Michael James Luther | Registered representative | CFA | Feb 2024 (3y) | |
| Emily Claire Sgammato | Registered representative | Mar 2024 (2y) | ||
| Richard S Bastien | Registered representative | Aug 2024 (2y) | ||
| Andrew John Dillon | Registered representative | Oct 2024 (2y) | ||
| Beau Matthew Robinette | Registered representative | Oct 2024 (2y) | ||
| Jacob Edward Moseley | Registered representative | Oct 2024 (2y) | ||
| Rohan Mathew | Registered representative | Mar 2025 (1y) | ||
| John Edward Shetterly | Registered representative | Mar 2025 (1y) | ||
| Jai Aditya Padalkar | Registered representative | May 2025 (1y) | ||
| Xiangyu Nmn Lai | Registered representative | Jul 2025 (1y) | ||
| Christopher Thomas Takacs | Registered representative | Jul 2025 (1y) | ||
| Anthony Jordan Garbarino | Registered representative | Sep 2025 (1y) | ||
| Kaylee L Wolcott | Registered representative | Sep 2025 (1y) | ||
| Mary Erwin | Registered representative | CFA | Sep 2025 (1y) | |
| Katherine Morgan Riley | Registered representative | Oct 2025 (1y) | ||
| Mohammed Azizur Miah | Registered representative | Oct 2025 (1y) | ||
| Kelly Rooney Lavin | Registered representative | Nov 2025 (1y) | ||
| Luca Vincent Massucci | Registered representative | Mar 2026 (0y) | ||
| Peter Donald Hayes | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| Robert Francis Cannon | Registered representative | Apr 2026 (0y) | ||
| Maxwell Lawrence Pohlman | Registered representative | May 2026 (0y) | ||
| Lucas Campbell Seely | Registered representative | CFP Chartered Financial Consultant | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Franklin Resources, Inc. | Managing Member | Dec 2021 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 12/16/2025 | 1.09 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
- • Performance-based fees
- • Other fees
- • ASSETS UNDER ADVISEMENT (FOR UMA)
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Dec 16, 2025.
View current Form ADV (SEC/IAPD) ↗