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.
Oppenheimer + Close, LLC
New York, NY
CRD 15168
Firm filing updated March 27, 2026 ·
- $93MAssets
- 127Clients
- 5Advisory staff
- 127Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Performance-based feesYes
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Individuals65
- High net worth individuals61
- Pension and profit sharing plans1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 65 | $12.6 million |
| High net worth individuals | 61 | $80.4 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 1 | $119 |
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
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Financial planning services
- Portfolio management for individuals and/or small businesses
Assets and accounts
- Regulatory assets$93.0 million
- Accounts127
- Discretionary$89.6 million · 125 accounts
- Non-discretionary$3.4 million · 2 accounts
People
- Employees5
- Advisory staff5
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients26 to 50
Advisors
2 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 15168, SEC file 801-34964.
- Registered with the SEC as an investment advisor (status date on record: August 10, 1989).
Is Oppenheimer + Close, LLC a fiduciary?
Short answer: Oppenheimer + Close, 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.