SourcingSourcing

OPPENHEIMERFUNDS INC

C28
CRD 104983·SEC 801-8253·ATLANTA, GA
AUM
$828K
<$25M
Est. Revenue
$8K
@ 1% on AUM
Est. EBITDA
$2K
@ 30% margin
Est. Deal Value
$20K
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
OPPENHEIMERFUNDS INC
CRD
104983
SEC file #
801-8253
EIN
000000000
DBA names
—

Economics

AUM
$828K
AUM band
<$25M
AUM trajectory
'20'26
$869.2M → $828K▼ -100%
Client mix
Pooled Investment Vehicles1

Operations

Employees (total)
15
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'25'26
3 advisors → 4 advisors▲ +33%
Primary office
ATLANTA GA
Branches
—

Custodian & Brokerage

Primary custodian
E*Trademedium confidence
Services offered
Portfolio mgmt — pooled vehiclesSelection of other advisersOther Advisory Services
Fee basis
% of AUM

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
3
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
OPPENHEIMER ACQUISITION
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
8
Control Persons
OPPENHEIMER ACQUISITION
Dukes, Laura, Allison
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001418333
Edgar Registered
Yes
Edgar Filing Count
783
Edgar First Filing Date
2007-10-31
Edgar Last Filing Date
2026-05-15
Edgar 13f Count
95
Edgar 13f Latest AUM Estimate
Filing Date2026-05-15
Accession0001193125-26-225415

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Window
E*trade1
Full
State Street6
E*trade5
Fidelity1
Bny Mellon1
Edgar Addresses
Mailing
1 ELIZABETH STREETSYDNEY, NSW 2000, 2000Australia
Business
1 ELIZABETH STREETSYDNEY, NSW 2000, 2000Australia
Edgar EIN
000000000
Edgar Recent Filings
13F-HR2026-05-15 · 0001193125-26-225415
SCHEDULE 13G/A2026-02-13 · 0001193125-26-049873
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (7)

7
Dukes, Laura, Allison
Executive Officer · 2.5%
4564818
MARK WILLIAM GREGSON
Executive Officer · 2.5%
2630230
HUMMEL, DEVIN, KRISTINE
Executive Officer · 2.5%
6449426
KETRON, GREGORY, WADE
Executive Officer · 2.5%
5425479
KEVIN WILLIAM OLDHAM
Executive Officer · 2.5%
5671390
RINGOLD, MELANIE
Executive Officer · 2.5%
4765022
Vacheron, Terry, Gibson
Executive Officer · 2.5%
7311967