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PART 2A OF FORM ADV: FIRM BROCHURE ITEM 1. COVER PAGE Oppenheimer Investment Management LLC 85 Broad Street New York, New York 10004 (212) 667 4000 March 7, 2024 This brochure (the Brochure) provides
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The Oppenheimer Investment Management LLC Form ADV is a regulatory filing required by the Securities and Exchange Commission (SEC) that provides information about investment advisers and their business practices.
Investment advisers who manage assets on behalf of clients and meet certain thresholds are required to file Form ADV, including Oppenheimer Investment Management LLC.
To fill out Form ADV, investment advisers must provide information about their business, ownership, clients, services offered, and any disciplinary history. This can usually be done electronically through the SEC's Investment Adviser Registration Depository (IARD).
The purpose of Form ADV is to provide transparency and protect investors by requiring investment advisers to disclose key information about their business practices and financial status.
Form ADV requires reporting information such as the adviser's business structure, ownership, services offered, fees charged, client types, assets under management, and management personnel.
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