SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Oberon Asset Management, LLC
New York, NY
CRD 123494
Firm filing updated May 1, 2026 ·
- $232.7MAssets
- 4Advisory staff
- 108Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- High net worth individuals40
- Individuals7
- Pooled vehicles1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 7 | $3.3 million |
| High net worth individuals | 40 | $210.3 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $17.2 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $1.2 million |
| Corporations or other businesses not listed above | Fewer than 5 clients | $783,726 |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
Assets and accounts
- Regulatory assets$232.7 million
- Accounts108
- DiscretionaryAll accounts
People
- Employees4
- Advisory staff4
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients0
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 123494, SEC file 801-71358.
- Registered with the SEC as an investment advisor (status date on record: April 19, 2010).
Is Oberon Asset Management, LLC a fiduciary?
Short answer: Oberon Asset Management, LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.