OAKTREE ASSET MANAGEMENT, LLC
CRD #131378 SEC #801-63104 NEW YORK, NY 212-269-6720
SEC Registered Broker-Dealer
Total AUM
$321.3M
Discretionary
$277.4M
Employees
10
Clients
10
Accounts
366
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 15, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BOTTOMS, DAVID, NEWTON | I | PRESIDENT,CEO,TREASURER & MANAGER | NA | Control |
| BOTTOMS, DAVID, NEWTON | I | PRESIDENT,CEO,TREASURER & MANAGER | NA | Control |
| BOTTOMS, DAVID, NEWTON | I | PRESIDENT,CEO,TREASURER & MANAGER | NA | Control |
| BOTTOMS, DAVID, NEWTON | I | PRESIDENT,CEO,TREASURER & MANAGER | NA | Control |
| BOTTOMS, DAVID, NEWTON | I | PRESIDENT,CEO,TREASURER & MANAGER | NA | Control |
| BOTTOMS, DAVID, NEWTON | I | PRESIDENT,CEO,TREASURER & MANAGER | NA | Control |
| BOTTOMS, DAVID, NEWTON | I | PRESIDENT,CEO,TREASURER & MANAGER | NA | Control |
| BOTTOMS, DAVID, NEWTON | I | PRESIDENT,CEO,TREASURER & MANAGER | NA | Control |
| BOTTOMS, DAVID, NEWTON | I | PRESIDENT,CEO,TREASURER & MANAGER | NA | Control |
| CONOVER, PHILIP, LEE | I | MANAGER | NA | Control |
| CONOVER, PHILIP, LEE | I | MANAGER | NA | |
| KLEINER, MILAGROS | I | SECRETARY-CHIEF COMPLIANCE OFFICER | NA | |
| KLEINER, MILAGROS | I | SECRETARY-CHIEF COMPLIANCE OFFICER | NA | |
| KLEINER, MILAGROS | I | SECRETARY-CHIEF COMPLIANCE OFFICER | NA | |
| KLEINER, MILAGROS | I | SECRETARY-CHIEF COMPLIANCE OFFICER | NA | |
| KLEINER, MILAGROS | I | SECRETARY-CHIEF COMPLIANCE OFFICER | NA | |
| KLEINER, MILAGROS | I | SECRETARY-CHIEF COMPLIANCE OFFICER | NA | |
| KLEINER, MILAGROS | I | SECRETARY-CHIEF COMPLIANCE OFFICER | NA | |
| MARTINEZ, MILAGROS | I | SECRETARY | NA | |
| MARTINEZ, MILAGROS | I | SECRETARY | NA | |
| MARTINEZ, MILAGROS | I | SECRETARY | NA | |
| MARTINEZ, MILAGROS | I | SECRETARY | NA | |
| MARTINEZ, MILAGROS | I | SECRETARY | NA | |
| MARTINEZ, MILAGROS | I | SECRETARY | NA | |
| MARTINEZ, MILAGROS | I | SECRETARY | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| MARVIN, CHRISTOPHER, BAEHNE | I | DIRECTOR OF RESEARCH | NA | |
| ORBEN, JACK, RICHARD | I | CHAIRMAN & MANAGER | NA | Control |
| ORBEN, JACK, RICHARD | I | CHAIRMAN & MANAGER | NA | Control |
| ORBEN, JACK, RICHARD | I | CHAIRMAN & MANAGER | NA | Control |
| ORBEN, JACK, RICHARD | I | CHAIRMAN & MANAGER | NA | Control |
| ORBEN, JACK, RICHARD | I | CHAIRMAN & MANAGER | NA | Control |
| ORBEN, JACK, RICHARD | I | CHAIRMAN & MANAGER | NA | Control |
| PAVLIK, ROBERT, GLENN | I | CHIEF INVESTMENT OFFICER/SENIOR PORTFOLIO MANAGER | NA | |
| PAVLIK, ROBERT, GLENN | I | CHIEF INVESTMENT OFFICER/SENIOR PORTFOLIO MANAGER | NA | |
| PAVLIK, ROBERT, GLENN | I | CHIEF INVESTMENT OFFICER/SENIOR PORTFOLIO MANAGER | NA | |
| PAVLIK, ROBERT, GLENN | I | CHIEF INVESTMENT OFFICER/SENIOR PORTFOLIO MANAGER | NA | |
| PAVLIK, ROBERT, GLENN | I | DIRECTOR OF RESEARCH | NA | |
| PAVLIK, ROBERT, GLENN | I | CHIEF INVESTMENT OFFICER/SENIOR PORTFOLIO MANAGER | NA | |
| PAVLIK, ROBERT, GLENN | I | SENIOR PORTFOLIO MANAGER | NA | |
| PAVLIK, ROBERT, GLENN | I | DIRECTOR OF RESEARCH | NA | |
| PAVLIK, ROBERT, GLENN | I | DIRECTOR OF RESEARCH | NA | |
| PAVLIK, ROBERT, GLENN | I | CHIEF INVESTMENT OFFICER/SENIOR PORTFOLIO MANAGER | NA | |
| PAVLIK, ROBERT, GLENN | I | DIRECTOR OF RESEARCH | NA | |
| PAVLIK, ROBERT, GLENN | I | DIRECTOR OF RESEARCH | NA | |
| PAVLIK, ROBERT, GLENN | I | DIRECTOR OF RESEARCH | NA | |
| PAVLIK, ROBERT, GLENN | I | DIRECTOR OF RESEARCH | NA | |
| PENN, JOHN, SCOTT | I | VICE PRESIDENT & MANAGER | NA | Control |
| PENN, JOHN, SCOTT | I | VICE PRESIDENT & MANAGER | NA | Control |
| PENN, JOHN, SCOTT | I | VICE PRESIDENT & MANAGER | NA | Control |
| PENN, JOHN, SCOTT | I | VICE PRESIDENT & MANAGER | NA | Control |
| PENN, JOHN, SCOTT | I | VICE PRESIDENT & MANAGER | NA | Control |
| PENN, JOHN, SCOTT | I | VICE PRESIDENT & MANAGER | NA | Control |
| PENN, JOHN, SCOTT | I | VICE PRESIDENT & MANAGER | NA | Control |
| PENN, JOHN, SCOTT | I | VICE PRESIDENT & MANAGER | NA | Control |
| PENN, JOHN, SCOTT | I | VICE PRESIDENT & MANAGER | NA | Control |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WEIMER, VAUGHN, HOWARD | I | MANAGING DIRECTOR | NA | |
| WELCH, WILLIAM, GODFREY | I | MANAGING DIRECTOR | NA | Control |
| WELCH, WILLIAM, GODFREY | I | MANAGING DIRECTOR | NA | Control |
| WELCH, WILLIAM, GODFREY | I | MANAGING DIRECTOR | NA | Control |
| WELCH, WILLIAM, GODFREY | I | MANAGING DIRECTOR | NA | Control |
| WELCH, WILLIAM, GODFREY | I | MANAGING DIRECTOR | NA | Control |
| WELCH, WILLIAM, GODFREY | I | MANAGING DIRECTOR | NA | Control |
| WELCH, WILLIAM, GODFREY | I | MANAGING DIRECTOR | NA | Control |
| BANYAN PARTNERS, LLC | DE | LLC | E | |
| BANYAN PARTNERS, LLC | DE | LLC | E | |
| BOTTOMS, DAVID, NEWTON | I | PRESIDENT,CEO,TREASURER & MANAGER | E | Control |
| BOTTOMS, DAVID, NEWTON | I | PRESIDENT,CEO,TREASURER & MANAGER | E | Control |
| BOTTOMS, DAVID, NEWTON | I | PRESIDENT,CEO,TREASURER & MANAGER | E | Control |
| FIDUCIARY COUNSEL INC | DE | MEMBER | D | Control |
| FIDUCIARY COUNSEL INC | DE | SHAREHOLDER | D | Control |
| FIDUCIARY COUNSEL INC | DE | SHAREHOLDER | D | Control |
| FIDUCIARY COUNSEL INC | DE | SHAREHOLDER | D | Control |
| FIDUCIARY COUNSEL INC | DE | SHAREHOLDER | D | Control |
| FIDUCIARY COUNSEL INC | DE | SHAREHOLDER | D | Control |
| FIDUCIARY COUNSEL INC | DE | SHAREHOLDER | D | Control |
| FIDUCIARY COUNSEL INC | DE | SHAREHOLDER | D | Control |
| FIDUCIARY COUNSEL INC | DE | SHAREHOLDER | D | Control |
| FINANCIAL ASSETS CORPORATION | DE | MEMBER | B | Control |
| FINANCIAL ASSETS CORPORATION | DE | SHAREHOLDER | B | Control |
| FINANCIAL ASSETS CORPORATION | DE | SHAREHOLDER | B | Control |
| FINANCIAL ASSETS CORPORATION | DE | SHAREHOLDER | B | Control |
| FINANCIAL ASSETS CORPORATION | DE | SHAREHOLDER | B | Control |
| FINANCIAL ASSETS CORPORATION | DE | SHAREHOLDER | B | Control |
| FINANCIAL ASSETS CORPORATION | DE | SHAREHOLDER | B | Control |
| FINANCIAL ASSETS CORPORATION | DE | SHAREHOLDER | B | Control |
| FINANCIAL ASSETS CORPORATION | DE | SHAREHOLDER | B | Control |
| OAKTREE ASSET MANAGEMENT, INC. | DE | MEMBER | B | |
| OAKTREE ASSET MANAGEMENT, INC. | DE | SHAREHOLDER | B | Control |
| OAKTREE ASSET MANAGEMENT, INC. | DE | SHAREHOLDER | B | Control |
| OAKTREE ASSET MANAGEMENT, INC. | DE | SHAREHOLDER | B | Control |
| OAKTREE ASSET MANAGEMENT, INC. | DE | SHAREHOLDER | B | Control |
| OAKTREE ASSET MANAGEMENT, INC. | DE | SHAREHOLDER | B | Control |
| OAKTREE ASSET MANAGEMENT, INC. | DE | SHAREHOLDER | B | Control |
| OAKTREE ASSET MANAGEMENT, INC. | DE | SHAREHOLDER | B | Control |
| OAKTREE ASSET MANAGEMENT, INC. | DE | SHAREHOLDER | B | Control |
| PIN OAK CAPITAL LTD | DE | MEMBER | B | |
| PIN OAK CAPITAL LTD | DE | SHAREHOLDER | B | Control |
| PIN OAK CAPITAL LTD | DE | SHAREHOLDER | B | Control |
| PIN OAK CAPITAL LTD | DE | SHAREHOLDER | B | Control |
| PIN OAK CAPITAL LTD | DE | SHAREHOLDER | B | Control |
| PIN OAK CAPITAL LTD | DE | SHAREHOLDER | B | Control |
| PIN OAK CAPITAL LTD | DE | SHAREHOLDER | B | Control |
| PIN OAK CAPITAL LTD | DE | SHAREHOLDER | B | Control |
| PIN OAK CAPITAL LTD | DE | SHAREHOLDER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BOTTOMS, DAVID, NEWTON | I | DNB ACQUISITION | E | Control |
| BOTTOMS, DAVID, NEWTON | I | DNB ACQUISITION | E | Control |
| BOTTOMS, DAVID, NEWTON | I | DNB ACQUISITION | E | Control |
| BOTTOMS, DAVID, NEWTON | I | DNB ACQUISITION | E | Control |
| BOTTOMS, DAVID, NEWTON | I | DNB ACQUISITION | E | Control |
| BOTTOMS, DAVID, NEWTON | I | DNB ACQUISITION | E | Control |
| BOTTOMS, DAVID, NEWTON | I | DNB ACQUISITION | E | Control |
| BOTTOMS, DAVID, NEWTON | I | DNB ACQUISITION | E | Control |
| BOTTOMS, DAVID, NEWTON | I | DNB ACQUISITION | E | Control |
| BOTTOMS, DAVID, NEWTON | I | DNB ACQUISITION | E | Control |
| BOTTOMS, DAVID, NEWTON | I | DNB ACQUISITION | E | Control |
| BOTTOMS, DAVID, NEWTON | I | DNB ACQUISITION | E | Control |
| DNB ACQUISITION, INC. | DE | PIN OAK CAPITAL LTD, FINANCIAL ASSETS CORP & OAKTREE ASSET MANAGEMENT, INC. | E | Control |
| DNB ACQUISITION, INC. | DE | PIN OAK CAPITAL LTD, FINANCIAL ASSETS CORP & OAKTREE ASSET MANAGEMENT, INC. | E | Control |
| DNB ACQUISITION, INC. | DE | PIN OAK CAPITAL LTD, FINANCIAL ASSETS CORP & OAKTREE ASSET MANAGEMENT, INC. | E | Control |
| DNB ACQUISITION, INC. | DE | PIN OAK CAPITAL LTD, FINANCIAL ASSETS CORP & OAKTREE ASSET MANAGEMENT, INC. | E | Control |
| DNB ACQUISITION, INC. | DE | PIN OAK CAPITAL LTD, FINANCIAL ASSETS CORP & OAKTREE ASSET MANAGEMENT, INC. | E | Control |
| DNB ACQUISITION, INC. | DE | PIN OAK CAPITAL LTD, FINANCIAL ASSETS CORP & OAKTREE ASSET MANAGEMENT, INC. | E | Control |
| DNB ACQUISITION, INC. | DE | PIN OAK CAPITAL LTD, FINANCIAL ASSETS CORP & OAKTREE ASSET MANAGEMENT, INC. | E | Control |
| DNB ACQUISITION, INC. | DE | PIN OAK CAPITAL LTD, FINANCIAL ASSETS CORP & OAKTREE ASSET MANAGEMENT, INC. | E | Control |
| DNB ACQUISITION, INC. | DE | PIN OAK CAPITAL LTD, FINANCIAL ASSETS CORP & OAKTREE ASSET MANAGEMENT, INC. | E | Control |
| UNIFIED FINANCIAL SERVICES, INC. | DE | FIDUCIARY COUNSEL, INC. | E | Control |
| UNIFIED FINANCIAL SERVICES, INC. | DE | FIDUCIARY COUNSEL, INC. | E | Control |
| UNIFIED FINANCIAL SERVICES, INC. | DE | FIDUCIARY COUNSEL, INC. | E | Control |
| UNIFIED FINANCIAL SERVICES, INC. | DE | FIDUCIARY COUNSEL, INC. | E | Control |
| UNIFIED FINANCIAL SERVICES, INC. | DE | FIDUCIARY COUNSEL, INC. | E | Control |
| UNIFIED FINANCIAL SERVICES, INC. | DE | FIDUCIARY COUNSEL, INC. | E | Control |
| UNIFIED FINANCIAL SERVICES, INC. | DE | FIDUCIARY COUNSEL, INC. | E | Control |
| UNIFIED FINANCIAL SERVICES, INC. | DE | FIDUCIARY COUNSEL, INC. | E | Control |
| UNIFIED FINANCIAL SERVICES, INC. | DE | FIDUCIARY COUNSEL, INC. | E | Control |
| RAIMONDI, PETER, JOHN | I | BANYAN PARTNERS, LLC | D | Control |
| RAIMONDI, PETER, JOHN | I | BANYAN PARTNERS, LLC | D | Control |
Registrations
Federal
IA
Feb 15, 2007 REGISTERED
Notice Filings (8)
CA CT FL MA NY VA VT WI
Address
30 WALL STREETSUITE 1203
NEW YORK, NY 10005-2201
USA
Phone: 212-269-6720