Firm profile

O'Shaughnessy Asset Management, LLC

STAMFORD, CTCRD 144594Registration Status: ApprovedEffective since July 25, 2007SEC # 801-68177Latest ADV December 16, 2025

O'Shaughnessy Asset Management, LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Stamford, CT. Its latest Form ADV filing, dated December 16, 2025, reports $19.8B in regulatory assets under management, 103 employees, 1 office, and 11,156 accounts.

Assets Under Management

$19.8B

Employees

103

Offices

1 office

Total Clients

11,156

Associated firm names

1 name listed

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

Leadership

5 roles identified

CEOChristopher S. Loveless

CCORaymond N. Amoroso Iii

COOKristopher R. Smith

Advisory services offered

4 types reported

Portfolio management for businesses

Portfolio management for individuals and small businesses

Portfolio management for investment companies

Fee models offered

3 types reported

Asset based fees

Other fee arrangements

Performance-based fees

Offices & Contact

Primary office

STAMFORD, Connecticut, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

View locations

Connecticut

STAMFORDPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Phone203-975-3333 WebsiteVisit website

LinkedInNot found

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$19.8Bas of December 16, 2025

Discretionary100.0%

$19.8B

100% of total RAUM100.0%

Non-discretionary0.0%

0% of total RAUM0.0%

All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentHNWI represent 96.2% of total clients.

Top client categories% of clientsClients

HNWI

96.2%

10,734

Corporations

3.1%

344

Charitable

0.4%

Pension Plans

0.2%

Government

0.1%

Additional categories (<0.1%)

Sovereign Wealth<5 clients

Investment Cos.<5 clients

Categories with <5 clients

Banking or thrift institutions<5 clients

Individuals (other than high net worth individuals)<5 clients

Other categories<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$19.8B

Total Accounts11,156

10Y AUM Change+$14.4B (+269.5%)

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees103

Clients per Employee108:1

10Y Employee Change+63 (+157.5%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%

FRANKLIN RESOURCES, INC.Direct owner · Schedule AInterest in O'SHAUGHNESSY ASSET MANAGEMENT, LLC

75%+

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to O'Shaughnessy Asset Management, LLC.

No indirect ownership information reported in the source’s Schedule B.

Reported ownership and control details

Form ADV · Filing date 2025-12-16 · Schedules A and B

14 entries

#	Owner / person & role	Interest in entity	Reported interest	Control person	Title / status acquired	Source
1	CHRISTOPHER STRATTON LOVELESSPRESIDENT/PRINCIPALIndividual	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Less than 5%Code NA	Yes	PRESIDENT/PRINCIPAL07/2007	Schedule APDF page 27
2	RAYMOND NMN AMOROSO IIICHIEF COMPLIANCE OFFICER/PRINCIPALIndividual	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Less than 5%Code NA	Yes	CHIEF COMPLIANCE OFFICER/PRINCIPAL01/2008	Schedule APDF page 27
3	ARI MARK ROSENBAUMDIRECTOR OF PRIVATE WEALTH SOLUTIONS/PRINCIPALIndividual	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Less than 5%Code NA	Yes	DIRECTOR OF PRIVATE WEALTH SOLUTIONS/PRINCIPAL07/2007	Schedule APDF page 27
4	ERIN MARIE FOLEYDIRECTOR OF TRADING/PRINCIPALIndividual	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Less than 5%Code NA	Yes	DIRECTOR OF TRADING/PRINCIPAL09/2007	Schedule APDF page 27
5	SCOTT MICHAEL BARTONECHIEF PRODUCT OFFICER/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPALIndividual	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Less than 5%Code NA	Yes	CHIEF PRODUCT OFFICER/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL07/2013	Schedule APDF page 27
6	PATRICK WALKER O'SHAUGHNESSYCHAIRMAN EMERITUSIndividual	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Less than 5%Code NA	Yes	CHAIRMAN EMERITUS07/2013	Schedule APDF page 27
7	EHREN JONATHAN STANHOPECHIEF INVESTMENT STRATEGIST/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPALIndividual	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Less than 5%Code NA	Yes	CHIEF INVESTMENT STRATEGIST/CO-HEAD OF INVESTMENT MANAGEMENT/PORTFOLIO MANAGER/PRINCIPAL01/2015	Schedule APDF page 27
8	CLAUDINE ANTOINETTE SPENCEDIRECTOR OF CLIENT SERVICE/PRINCIPALIndividual	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Less than 5%Code NA	Yes	DIRECTOR OF CLIENT SERVICE/PRINCIPAL01/2017	Schedule APDF page 27
9	FRANKLIN RESOURCES, INC.MANAGING MEMBERDomestic entity	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	75% or moreCode E	Yes	MANAGING MEMBER12/2021	Schedule APDF page 27
10	ROGER NMN PARADISOEXECUTIVE CHAIRMAN/PRINCIPALIndividual	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Less than 5%Code NA	Yes	EXECUTIVE CHAIRMAN/PRINCIPAL06/2022	Schedule APDF page 27
11	RAJAT NMN GUPTACHIEF TECHNOLOGY OFFICER/PRINCIPALIndividual	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Less than 5%Code NA	Yes	CHIEF TECHNOLOGY OFFICER/PRINCIPAL06/2022	Schedule APDF page 27
12	KRISTOPHER RYAN SMITHCHIEF OPERATING OFFICER/PRINCIPALIndividual	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Less than 5%Code NA	Yes	CHIEF OPERATING OFFICER/PRINCIPAL06/2022	Schedule APDF page 27
13	BRADLEY SCOTT BERGGRENCO-CIO OF CANVAS MANAGED OPTIONS STRATEGIES/PORTFOLIO MANAGER/PRINCIPALIndividual	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Less than 5%Code NA	Yes	CO-CIO OF CANVAS MANAGED OPTIONS STRATEGIES/PORTFOLIO MANAGER/PRINCIPAL12/2025	Schedule APDF page 27
14	JONATHAN ORSECKCO-CIO OF CANVAS MANAGED OPTIONS STRATEGIES/PORTFOLIO MANAGER/PRINCIPALIndividual	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Less than 5%Code NA	Yes	CO-CIO OF CANVAS MANAGED OPTIONS STRATEGIES/PORTFOLIO MANAGER/PRINCIPAL12/2025	Schedule APDF page 27

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 12/16/2025 10:10:11 AM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo

AFelonies2 No

In the past ten years, have you or any advisory affiliate:

A1Been convicted of or pleaded guilty or no contest to a felony?No
A2Been charged with a felony?No

BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
B2Been charged with a misdemeanor of the kind listed above?No

CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

C1Found you or an advisory affiliate made a false statement or omission?No
C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No

DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No

ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

E1Found you or an advisory affiliate made a false statement or omission?No
E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No

FProfessional authorizations1 No

FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No

GPending regulatory proceedings1 No

GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No

HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.