Oppenheimerfunds Inc (New York)


Oppenheimerfunds Inc is a large advisory firm based in New York. It manages $869.21 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Colorado, Massachusetts, New York, and 3 other states.

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Oppenheimerfunds provides portfolio management for pooled investment vehicles, selection of other advisers, and asset allocation. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Oppenheimerfunds: assets under management

The assets under management (AUM) of Oppenheimerfunds Inc is $869.21 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -99% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $869.21 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $869.21 million each.
Oppenheimerfunds has custody of $869.21 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Oppenheimerfunds Inc for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Roger William Crandall serves?

The only and largest group of clients of Roger William Crandall is pooled investment vehicles with 1 clients and $869.21 million of assets under management. Among the 7 most similar advisory firms, Oppenheimerfunds has the 2nd highest percentage of pooled investment vehicles out of all clients.


The amount of regulatory assets under management is $869.21 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Oppenheimerfunds also advises several private funds. Namely, one other private fund.

Careers at Oppenheimerfunds Inc

Roger William Crandall has been acting as President since 1 Jan 2010. Kurt John Wolfgruber has served as the Chief Investment Officer since 1 Jan 2003 and John Vincent Murphy is the Chief Executive Officer of Oppenheimerfunds Inc family office. Robert Harris Rigsby joined the executive team most recently as the Director, Chief Executive Officer, And President.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Loretta May Mccarthy Executive vice president 1 May 1985 Other 1381948
James Herman Ruff Executive vice president 1 Mar 1989 Other 1250748
Oppenheimer Acquisition Corporation Shareholder 1 Oct 1990 75% - 100% 84-1149206
Oppenheimer Acquisition Corporation (Gatc) Shareholder 1 Oct 1990 75% - 100% 84-1853679
Robert Gregory Zack Senior vice president 1 May 1995 Other 2428497
Andrew John Donohue Director 1 Sep 1995 Other 858126
Jeremy Hugh Griffiths Director 1 Nov 1997 Other 2976727
Craig P Dinsen Executive vice president 1 Jan 1998 Other 3025036
Craig P Dinsell Executive vice president 1 Jan 1998 Other 3025036
George Samuel Batejan Executive vice president 1 May 1998 Other 3107628
Frank James Pavlak Director of compliance - chief compliance officer 1 Jan 1999 Other 3174218
Brian William Wixted Treasurer 1 Mar 1999 Other 1543247
Andrew Ruotolo Executive vice president 1 Oct 1999 Other 4342281
Bridget Ann Macaskill Chairman & ceo 1 Aug 2000 Other 1207158
John Vincent Murphy President, coo, director 1 Aug 2000 Other 2168440
O Leonard Darling Director, vice chairman, evp & cio 1 Sep 2000 Other 2507845
John Vincent Murphy President 1 Sep 2000 Other 2168440
John Vincent Murphy Ceo, chairman & director 1 Jun 2001 Other 2168440
John Vincent Murphy Chief executive officer 1 Jul 2001 Other 2168440
Robert Gregory Zack General counsel 1 Feb 2002 Other 2428497
Kurt John Wolfgruber Chief investment officer 1 Jan 2003 Other 1903189
Robert Gregory Zack Executive vice president 1 Jan 2004 Other 2428497
David Matthew Pfeffer Senior vice president & cfo 1 Feb 2004 Other 4151070
Mark Stephen Vandehey Chief compliance officer 1 Mar 2004 Other 1018546
Michael A/N Baldwin Executive vice president 1 Jun 2005 Other 4979642
Richard William Knott Executive vice president 1 Jan 2007 Other 2349375
Kurt John Wolfgruber President 1 Mar 2007 Other 1903189
Darren Alexander Walsh Executive vice president 1 Oct 2007 Other 5438623
William Francis Glavin Chief executive officer & director 1 Jan 2009 Other 2666939
David Matthew Pfeffer Director & chief financial officer 1 Oct 2009 Other 4151070
Christopher Morgan Leavy Executive vice president and chief investment officer, equities 1 Oct 2009 Other 2684507
Arthur Philip Steinmetz Executive vice president and chief investment officer, fixed income 1 Oct 2009 Other 1377996
Martha Boal Willis Executive vice president 1 Oct 2009 Other 1357245
Roger William Crandall Director 1 Jan 2010 Other 4486307
Michael Thomas Rollings Director 1 Jan 2010 Other 1592402
Elizabeth Ann Ward Director 1 Jan 2010 Other 2194754
Philipp Albert Hensler Executive vice president 1 Mar 2010 Other 5014272
Arthur Sanford Gabinet Chief legal officer 1 May 2010 Other 5788482
Geoffrey James Craddock Executive vice president 1 Jan 2011 Other 1444771
M. Timothy Corbett Director 1 Oct 2012 Other 4633377
Krishna Kumar Memani President 1 Jan 2013 Other 1771194
Kristie Marie Feinberg Treasurer 1 Jan 2013 Other 3162040
Mary Ann Picciotto Chief compliance officer 1 Mar 2014 Other 4235357
Arthur Philip Steinmetz Director & chairman 1 Jul 2014 Other 1377996
Cynthia Lo Bessette Chief legal officer 1 Feb 2016 Other 6468381
William Francis Glavin Director 1 Apr 2017 Other 2666939
Geoffrey James Craddock Director 1 Oct 2017 Other 1444771
Robert Harris Rigsby Director, chief executive officer, and president 1 May 2019 Other 6611555
Loren Michael Starr Director, secretary and vice president 1 May 2019 Other 2178384

Indirect Owners

The SEC currently registers 17 indirect owners.

Name Entity Date acquired Ownership Employer ID
Massachusetts Mutual Life Insurance Company Member 1 Nov 1984 75% - 100% 04-1590850
Mm Asset Management Holding Llc Shareholder 1 Oct 1990 75% - 100% 45-4000072
Oppenheimer Acquisition Corp. Indirect shareholder 1 Oct 1990 75% - 100% 84-1149206
Massachusetts Mutual Life Insurance Company Shareholder 1 Oct 1990 75% - 100% 2682
Massachusetts Mutual Life Insurance Company Member 1 Apr 1994 75% - 100% 04-1590850
Massmutual Holding Trust I Indirect shareholder 1 Dec 1996 75% - 100% 04-3343737
Massmutual Holding Company Shareholder 1 Dec 1996 75% - 100% 04-2854319
Massmutual Holding Llc Shareholder 1 Dec 1996 75% - 100% 04-2854319
Massachusetts Mutual Life Insurance Company Shareholder 1 Mar 1999 75% - 100% 2682
Massmutual Holding Company Shareholder 1 Mar 1999 75% - 100% 04-2854319
Invesco Holding Company Limited Sole shareholder 1 Jan 2002 75% - 100% 98-0407710
Invesco Ltd. Sole shareholder 1 Jan 2002 75% - 100% 98-0557567
Massmutual Holding Llc Member 1 Nov 2011 75% - 100% 04-2854319
Mm Asset Management Holding Llc Shareholder 1 Jan 2012 75% - 100% 45-4000072
Mm Asset Management Holding Llc Shareholder 1 Feb 2012 75% - 100% 45-4000072
Massmutual Holding Llc Sole member 1 Feb 2012 75% - 100% 04-2854319
Inc. Invesco Holding Company (Us) Sole shareholder 1 May 2019 75% - 100% 58-2287224

Based in New York

The principal office where Oppenheimerfunds Inc performs its advisory services is located at 225 Liberty Street, 11 Th Floor, New York, NY 10281 1008, which is also the mailing address of the firm. An additional office of the firm is in Rochester, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-323-0200 or by fax 212-323-4070. The normal business hours are 9:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at oppenheimerfunds.com.