O'Shaughnessy Asset Management, LLC

CRD#144594
Investment Advisor Firm

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Learn more about O'Shaughnessy Asset Management, LLC

  • Overview
  • By the Numbers
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    O'Shaughnessy Asset Management, LLC is located at 6 Suburban Avenue, Stamford, CT. The firm employs 40 financial advisors to manage client portfolios and provide financial guidance. O'Shaughnessy Asset Management, LLC is not a registered broker-dealer.

    O'Shaughnessy Asset Management, LLC oversees $8.0 billion in assets under management across 4,197 accounts, all of which are discretionary. The services offered include portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for institutional clients. The firm caters to high net worth investors, investment companies, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, sovereign wealth funds, and corporations, with high net worth investors being the largest client type by accounts. The fee structure at O'Shaughnessy Asset Management, LLC includes asset-based, performance-based, and other fees. The firm has 3,725 high net worth clients and maintains affiliations with an accountant or accounting firm, a lawyer or law firm, and a commodity pool advisor.

    O'Shaughnessy Asset Management, LLC is registered in the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

    Assets Under Management

    $8.0 billion

    Number of Advisors

    40

    Disclosures

    No

    Office Location

    6 Suburban Avenue
    Stamford, CT 06901-2012

    O'Shaughnessy Asset Management, LLC by the Numbers

    Total Assets Under Management

    $8.0 billion

    National Average: $8.6 billion
    Total Number of Employees

    69

    National Average: 64
    Total Number of Accounts

    4,197

    National Average: 375,227
    Average Account Size

    $1.9 million

    National Average: $23.0 thousand
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    Fee Structure

    A financial advisor's fees largely depend on which services are provided. Fees charged by O'Shaughnessy Asset Management, LLC can consist of any combination of the following fee structures: asset-based, performance-based, or other. The firm does participate in a wrap fee program, in which the company offers a bundle of services for a comprehensive fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 26% of firms

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Offered by 10% of firms

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 32% of firms that offer this fee type

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

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    Types of Clients

    The firm does business with a broad range of customers. The company caters to high net worth investors, investment companies, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, sovereign wealth funds, and corporations. Out of its 8 clients, O'Shaughnessy Asset Management, LLC's biggest client type by number of accounts is high net worth investors, although it also manages money for 3725 high-net-worth individuals. The SEC defines a high-net-worth individual as a person who has at least $750,000 under management or a net worth of at least $1,50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 88.75%
    • Other Individuals - 0%
    • Corporations - 10.17%
    • Charitable Organizations - 1.07%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    O'Shaughnessy Asset Management, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at O'Shaughnessy Asset Management, LLC

    Mark Hebeka
    Stamford, CT
    Andrew Iles
    Stamford, CT
    Euan Mackay
    Stamford, CT
    Emily Sgammato
    Stamford, CT
    Thomas Canals
    Stamford, CT
    Michael Luther
    Stamford, CT
    Laura Foster
    Stamford, CT
    Jeffrey Gebauer
    Stamford, CT
    Thomas Farrell
    Stamford, CT

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