Oppenheimer Investment Management LLC

Registered investment adviser · New York, NY · CRD #133243

Form ADV data as of 2026-09-01

Regulatory assets

$929.4 million

Total accounts

Employees

Disclosure events

Firm details

Website: https://www.oppenheimer.com/asset-management/oim/
Telephone: 212-667-4156
SEC file number: 801-63615
Most recent Form ADV filing: 2026-03-19
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 8 disclosure questions answered Yes, covering 13 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a false statement or omission
A self-regulatory organization found a violation of its rules
Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$929.4 million
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$929.4 million
Discretionary accounts	61
Non-discretionary accounts	0
Total accounts	61
Regulatory assets under management attributable to non-U.S. persons	$37.8 million

People

Total employees (excluding clerical)	8
Employees performing investment advisory functions (including research)	7
Employees who are registered representatives of a broker-dealer	2
Employees registered as investment adviser representatives with a state	0
Employees registered as IARs for another investment adviser	4
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	12

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
Clients for whom the firm has custody	0
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
Client funds and securities held in a related person's custody	$0
Clients for whom a related person has custody	0
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	Yes
Number of persons acting as qualified custodians for the firm's clients	0

How the firm is compensated

A percentage of assets under management

Advisory services offered

Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Commodity pool operator or commodity trading advisorTrust companyInsurance company or agencyPension consultantSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Executes agency cross transactions involving advisory client securities
Compensates a non-employee for client referrals

Client types

Type of client	Clients	Assets
Pension and profit sharing plans (not the participants or government plans)	2	$17.3 million
Charitable organizations	11	$72.1 million
State or municipal government entities (including government pension plans)	3	$169.5 million
Insurance companies	14	$359.7 million
Corporations or other businesses not listed above	11	$44.4 million
Other	20	$266.3 million