Oppenheimer + Close, Llc
- Regulatory AUM
- $93.0M
- Discretionary
- $89.6M
- Clients
- 127
- Avg AUM / client
- $732K
- Accounts
- 127
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 65 | $12.6M | 13.5% |
| High net worth individuals | 61 | $80.4M | 86.5% |
| Pension and profit sharing plans | 1 | $119 | 0.0% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Carl Kirby Oppenheimer | Director, Managing Member / Chief Compliance Officer | Mar 2007 (19y) | 75% or more | |
| Oppenheimer, Kirsten, Beaven | Member | Dec 2021 (5y) | 10% – 25% | |
| John Jay Koller | Registered representative | Jul 2021 (5y) | ||
| Philip Victor Oppenheimer | Registered representative | Jul 2021 (5y) | ||
| Stephen Michael Farrell | Registered representative | Aug 2021 (5y) | ||
| George William Jarvinen | Registered representative | Jul 2025 (1y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Pershing $93.0M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗