Ofi Institutional Asset Management, Inc. (New York)

Ofi Institutional Asset Management, Inc. is a large advisory firm based in New York. It manages $4.02 billion of regulatory assets for 24 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Ofi Institutional Asset Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ofi Institutional Asset Management: assets under management

The assets under management (AUM) of Ofi Institutional Asset Management, Inc. is $4.02 billion. The firm's AUM has grown by 51% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.98 billion in discretionary accounts and $39.2 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $172.88 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $39.2 million.

Ofi Institutional Asset Management has custody of $640.07 million in cash and securities for 5 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ofi Institutional Asset Management, Inc. for their services and products based on a percentage of assets under management and performance-based fees. 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.

Careers at Ofi Institutional Asset Management, Inc.

O Leonard Darling has been acting as President since 1 Feb 2001. Kimberly Moulton Mustin joined the executive team most recently as the President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
O Leonard Darling	Director	1 Feb 2001	Other	2507845
William Jaume	Senior vice president	1 Feb 2001	Other	1916383
Charles Lloyd Mckenzie	Senior vice president	1 Feb 2001	Other	2367172
David Carl Schultz	Ceo, president & director	1 Feb 2001	Other	3254958
Brian William Wixted	Treasurer	1 Feb 2001	Other	1543247
Inc. Oppenheimerfunds	Shareholder	1 Feb 2001	75% - 100%	23-2527171
John Vincent Murphy	Director	1 Jul 2001	Other	2168440
Jeremy Hugh Griffiths	Executive vice president	1 Jul 2001	Other	2976727
Robert Gregory Zack	Senior vice president & general counsel	1 Nov 2001	Other	2428497
Merryl Ivy Hoffman	Secretary	1 Nov 2001	Other	2307957
Diederik Werdmolder	Senior vice president	1 Apr 2002	Other	4156104
Angelo George Manioudakis	Senior vice president	1 Apr 2002	Other	2806495
Charles Lloyd Mckenzie	Ceo,president, director, senior managing director	1 Jul 2003	Other	2367172
Lori Jean Proper	Director of compliance	1 Jul 2003	Other	3213417
Kurt John Wolfgruber	Director	1 Jul 2003	Other	1903189
Patrick Martin Bisbey	Director of trading and portfolio operations	1 Jul 2003	Other	3213388
Lamar Vincent Kunes	Director of finance	1 Jul 2003	Other	3213833
John Allen Huttlin	Senior vice president	1 Jan 2004	Other	1994480
Mark Stephen Vandehey	Senior vice president and chief compliance officer	1 Mar 2004	Other	1018546
John Bernard Lieb	Chief operating officer	1 Aug 2004	Other	3213834
Jeffery Paul Lagarce	President, chief marketing officer	1 Jan 2005	Other	1014406
Jeffrey P Lagarce	President	1 Jan 2005	Other	1014406
Jeffrey P Lagarce	Chairman, ceo, president, director	1 Mar 2009	Other	1014406
Christopher Morgan Leavy	Senior vice president and director	1 Jan 2010	Other	2684507
David Matthew Pfeffer	Director	1 Jan 2010	Other	4151070
William Francis Glavin	Director	1 Mar 2010	Other	2666939
Arthur Sanford Gabinet	Executive vice president and general counsel	1 Jan 2011	Other	5788482
Philipp Albert Hensler	Director, chairman and president	1 Feb 2011	Other	5014272
Kimberly Moulton Mustin	President	1 Jan 2013	Other	4397117
Kristie Marie Feinberg	Treasurer	1 Jan 2013	Other	3162040

Indirect Owners

The SEC currently registers 7 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Oppenheimer Acquisition Corporation	Shareholder	1 Oct 1990	75% - 100%	84-1149206
Massachusetts Mutual Life Insurance Company	Shareholder	1 Dec 1990	75% - 100%	2682
Mass Mutual Holding Company	Shareholder	1 Dec 1996	75% - 100%	04-2854319
Massmutual Holding Trust I	Shareholder	1 Dec 1996	75% - 100%	04-3343737
Massmutual Holding Llc	Shareholder	1 Dec 1996	75% - 100%	04-2854319
Inc. Oppenheimerfunds	Shareholder	1 Dec 2001	75% - 100%	13-4160541
Mm Asset Management Holding Llc	Shareholder	1 Jan 2012	75% - 100%	45-4000072

Based in New York

The principal office where Ofi Institutional Asset Management, Inc. performs its advisory services is located at 2 World Financial Center, New York, NY 10281 1008, which is also the mailing address of the firm. An additional office of the firm is in Centennial, CO. 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 212-323-4071. The normal business hours are 8:30 a.m. to 5:00 p.m. on Monday - Friday.