AdvisorRanked
84
Some Concerns

OPPENHEIMER INVESTMENT MANAGEMENT LLC

85 BROAD ST, NEW YORK, NY 10004
Fiduciaryfee-onlySEC Registered
212-667-4156 www.oppenheimer.com/asset-management/oim/ CRD #133243
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$929M
Assets Managed
7
Clients
8
Employees
22
Years Active
since 2004

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46100. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: No

No broker-dealer affiliation. Lower risk of commission-driven advice.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: No

Assets held at an independent custodian (e.g., Schwab, Fidelity, TD Ameritrade). This is the standard, lower-risk arrangement.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46100

2 customer complaint(s)/arbitration(s), 1 termination(s) from a firm disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 2

Complaint ratio: 28.57 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameOPPENHEIMER INVESTMENT MANAGEMENT LLC
CRD Number#133243
SEC RegisteredYes
Registration Date2004-12-03
States RegisteredNY
Assets Under Management$929M
Number of Clients7
Employees8
Compensation Typefee-only
Last ADV Filing46100

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Frequently Asked Questions

Is OPPENHEIMER INVESTMENT MANAGEMENT LLC a fiduciary?

Yes. OPPENHEIMER INVESTMENT MANAGEMENT LLC is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.

How does OPPENHEIMER INVESTMENT MANAGEMENT LLC charge clients?

OPPENHEIMER INVESTMENT MANAGEMENT LLC uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does OPPENHEIMER INVESTMENT MANAGEMENT LLC have any complaints?

Yes. OPPENHEIMER INVESTMENT MANAGEMENT LLC has 2 complaint(s) on record. Their complaint ratio is 28.57 per 100 clients (industry average: ~0.15).

How does OPPENHEIMER INVESTMENT MANAGEMENT LLC compare to other advisors in NEW YORK?

OPPENHEIMER INVESTMENT MANAGEMENT LLC has a Red Flag Score of 84/100. There are 1970 registered advisory firms in NEW YORK. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46100. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.