Ofi Advisors, LLC (New York)


Ofi Advisors, LLC is a large advisory firm based in New York. It manages $3.67 billion of regulatory assets for 20 client accounts. It has been registered with the SEC as an adviser since 2018.

Ofi Advisors provides portfolio management for investment companies. 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 Advisors: assets under management

The assets under management (AUM) of Ofi Advisors, LLC is $3.67 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 11% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.67 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $183.25 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Ofi Advisors, LLC 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 Ofi Advisors serves?

The only and largest group of clients of Ofi Advisors is investment companies with 20 clients and $3.67 billion of assets under management. Among the 10 most similar advisory firms, Ofi Advisors has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $3.67 billion for 20 clients. None of the firm’s clients are foreign persons or businesses.

Ofi Advisors doesn't advise any private funds.

Careers at Ofi Advisors, LLC

The company employs 21 people that are either part- or full-time employees. 10 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Kristie Marie Feinberg Treasurer 1 Dec 2015 Other 3162040
David Matthew Pfeffer Director and chief financial officer 1 Dec 2015 Other 4151070
Arthur Philip Steinmetz President and director 1 Dec 2015 Other 1377996
Mary Ann Picciotto Chief compliance officer 1 Dec 2015 Other 4235357
Inc. Oppenheimerfunds Direct owner 1 Dec 2015 75% - 100% 13-2527171
Cynthia Lo Bessette Chief legal officer 1 Feb 2016 Other 6468381
Sharon French Executive vice president 1 Apr 2016 Other 2360493

Indirect Owners

The SEC currently registers 4 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 Corporation Shareholder 1 Oct 1990 75% - 100% 84-1149206
Massmutual Holding Llc Member 1 Nov 2011 75% - 100% 04-2854319

Based in New York

The principal office where Ofi Advisors, LLC performs its advisory services is located at 225 Liberty Street, New York, NY 10281, which is also the mailing address of the firm. 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 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at revenueshares.com.