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 operates as an advisory firm that has its headquarters in Stamford, Connecticut. It administers $6.3 billion in total assets throughout 3,430 customer accounts, making it one of the largest firms in the nation by assets under management (AUM). O'Shaughnessy Asset Management, LLC has an average-sized team, including 30 financial advisors. O'Shaughnessy Asset Management, LLC does not act as a registered broker-dealer, meaning the advisor cannot buy and sell securities for its customers' and own accounts and instead has to go through a broker-dealer company to do so. Securities are exchangable financial investments like equities, bonds and options.

    O'Shaughnessy Asset Management, LLC manages all of the firm's accounts on a discretionary basis. Discretionary management means that a portfolio manager has the discretion to make transaction judgments without requiring the customer's permission. The investment advisory firm's average account size is $1.8 million. The typical financial advisor at O'Shaughnessy Asset Management, LLC administers about 114 client accounts.

    The firm's headquarters is at 6 Suburban Avenue, Stamford, Connecticut 06901-2012. O'Shaughnessy Asset Management, LLC is permitted to provide services to clients throughout 51 U.S. states and territories.

    Assets Under Management

    $6.3 billion

    Number of Advisors

    30

    Disclosures

    No

    Office Location

    6 Suburban Avenue
    Stamford, CT 06901-2012

    O'Shaughnessy Asset Management, LLC by the Numbers

    Total Assets Under Management

    $6.3 billion

    National Average: $8.6 billion
    Total Number of Employees

    60

    National Average: 64
    Total Number of Accounts

    3,430

    National Average: 375,227
    Average Account Size

    $1.8 million

    National Average: $23.0 thousand
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    Fee Structure

    Fees for financial advice usually are based on the type of financial services offered. Fees charged by the company most likely are comprised of some blend of the following fee types: asset-based, performance-based or other. Wrap fee programs, or the practice of bundling services for a single fee, are offered by the company.

    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 number of different investors. It 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 3,430 customers, O'Shaughnessy Asset Management, LLC's biggest client type is high net worth investors, though it also serves 2,934 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the company's clients are represented by non-U.S. persons.

    • High-Net-Worth Individuals* - 85.54%
    • Other Individuals - 0%
    • Corporations - 13.03%
    • Charitable Organizations - 1.43%

    * 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

    Patrick Mcstay
    Stamford, CT
    Nicholas Bhaskar
    Stamford, CT
    Abbey Duncan
    Stamford, CT
    Daniel Nitiutomo
    Stamford, CT
    Euan Mackay
    Stamford, CT
    Claire Noel
    Stamford, CT
    Laura Foster
    Stamford, CT
    Paul Ackerley
    Stamford, CT
    Christian Boinske
    Stamford, CT

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