Providers › Investment advisory and management
Service provider · Schedule C, plan year 2024
Oppenheimer & Co. Inc.
Most often reported for investment advisory and management
Form 5500 information is as filed by the plan administrator with the Department of Labor and may be amended. Figures reflect the plan year shown, not current balances. Schedule C lists only providers a plan paid $5,000 or more, and is filed only by plans with 100 or more participants.
For plan year 2024, 65 retirement plans with 100 or more participants reported paying Oppenheimer & Co. Inc. $5,000 or more. Those plans cover 83,828 participant records, and the service most often reported is investment advisory and management.
Reported compensation from those plans, direct and indirect, totalled $2.3M. Per plan, the median was $68.69 per participant, with the middle half of plans between $29.41 and $117. These are amounts plans reported paying this organisation, not a price list: they depend on which services each plan buys and on how much is paid through fund expenses instead.
Its client plans are most numerous in California (18), Ohio (8) and New Jersey (6).
In 2009 it appeared on 38 such filings; in 2024, 66. Yearly counts include every filing that names it, so they can run slightly above the number of plans with pages here, and name or EIN changes after mergers can break the series.
Reported compensation per plan
| Across this provider's plans | 25th percentile | Median | 75th percentile |
|---|---|---|---|
| Compensation per participant | $29.41 | $68.69 | $117 |
| Compensation as a share of plan net assets | 0.08% | 0.17% | 0.27% |
What each plan reported paying this organisation, not the plan's total cost. For reference, the median US defined contribution plan reported $123 per participant to all Schedule C providers combined.
Plans served by year
Matched by employer identification number. A merger or a change of filing entity starts a new series, so a drop to zero is not a loss of clients by itself.
By state
By plan size
Services reported
Largest plans naming this provider
| Plan | Sponsor | State | Participants | Net assets | Reported to this provider |
|---|---|---|---|---|---|
| Ballad Health 403(b) Plan | Ballad Health | TN | 16,790 | $731M | $20K |
| Covenant Health 401(k) Plan | Covenant Health | TN | 12,083 | $894M | $55K |
| Ballad Health 401(a) Plan | Ballad Health | TN | 7,727 | $486M | $23K |
| Faurecia USA Holdings, Inc. Retirement Savings | Faurecia USA Holdings, Inc. | MI | 4,440 | $423M | $42K |
| Faurecia USA Holdings, Inc. Union Retirement Savings Plan | Faurecia USA Holdings, Inc. | MI | 3,836 | $70.3M | $2,700 |
| CHS Employee Group, LLC 401(k) Retirement Plan | CHS Employee Group, LLC | TN | 3,174 | $100M | $60K |
| Interdent Service Corporation 401(k) Plan | Interdent Service Corporation | CA | 2,581 | $100M | $98K |
| Ushv Employee Savings Plan | Ushv Management, LLC | TN | 2,151 | $101M | $35K |
| A & a Maintenance Enterprises 401(k) Profit Sharing and Trust | A&a Maintenance Enterprise, Inc. | NY | 1,863 | $3.0M | $6,725 |
| Osg, Inc. Savings and Retirement Plan | Output Services Group, Inc. | NJ | 1,732 | $81.9M | $58K |
| Ohio's Hospice, Inc. 401(k) Retirement Savings | Ohios Hospice, Inc. | OH | 1,621 | $63.1M | $48K |
| Compsych Management Corporation Retirement Plan | Compsych Management Corporation | IL | 1,569 | $53.6M | $45K |
| Jas Forwarding (USA), Inc. 401(k) Plan | Jas Forwarding (U.S.A.), Inc. | GA | 1,551 | $92.9M | $121K |
| Astrana Health Managment, Inc. Cash Or Deferred Profit Sharing Plan | Astrana Health Management, Inc. | CA | 1,495 | $29.7M | $9,239 |
| Kelc 401(k) Savings Plan | Kaplan Early Learning Company | NC | 1,449 | $37.8M | $27K |
| Argano, LLC 401(k) Plan | Argano, LLC | TX | 1,255 | $123M | $65K |
| Freshrealm Retirement Plan | Freshrealm, Inc. | TX | 1,205 | $13.6M | $33K |
| Modern Automotive Network 401(k) and Profit Sharing Plan | Modern Automotive Network, LLC | NC | 1,059 | $26.0M | $26K |
| Teamsters Local 408 Pension Plan | Trustees of Teamsters Local 408 Pension and Welfare Funds | NJ | 942 | $108M | $108K |
| Whirlwind Steel Buildings, Inc. 401(k) Plan | Whirlwind Steel Buildings, Inc. | TX | 788 | $21.4M | $40K |
| Universal Institute 401(k) Plan | Universal Rehab & Fitness Inst | NJ | 765 | $8.6M | $18K |
| Catawba College Retirement Plan | Catawba College | NC | 696 | $46.9M | $33K |
| Monson Fruit Co., Inc. 401(k) Profit Sharing Plan and Trust | Monson Fruit Co., Inc. | WA | 684 | $6.8M | $31K |
| Custom Goods, LLC Consolidated 401(k) Plan | Custom Goods, LLC | CA | 663 | $11.6M | $50K |
| Kerecis, LLC 401(k) Plan | Kerecis, LLC | VA | 644 | $10.4M | $39K |
| The McGregor Retirement Savings Plan | The McGregor Foundation | OH | 550 | $8.2M | $32K |
| Parkway Products, LLC Thrift Savings 401(k) Plan | Parkway Products, LLC | GA | 533 | $14.1M | $5,318 |
| El Proyecto del Barrio 403(b) Plan | El Proyecto del Barrio, Inc. | CA | 525 | $14.4M | $19K |
| Miller Castings, Inc. 401(k) Plan | Miller Castings, Inc. | CA | 516 | $12.2M | $31K |
| Skydance Productions, LLC 401(k) Profit Sharing Plan | Skydance Productions, LLC | CA | 502 | $30.1M | $56K |
| Mixpanel, Inc. 401(k) & Profit Sharing Plan | Mixpanel | CA | 479 | $30.6M | $77K |
| Sycamore Services 401(k) Plan | Sycamore Services, Inc. | IN | 478 | $5.3M | $20K |
| John a. Hudec and Associates, Inc. 401(k) Profit Sharing Plan | John a. Hudec and Associates, Inc. | OH | 364 | $10.6M | $28K |
| TMMG 401(k) Plan | The McHenry Management Group, Inc. | VA | 364 | $16.5M | $22K |
| The Woodlands Christian Academy 403(b) Plan | The Woodlands Christian Academy | TX | 347 | $8.4M | $22K |
| Home Franchise Concepts Retirement Savings Plan | Home Franchise Concepts, LLC | CA | 338 | $19.4M | $25K |
| PDQ Enterprises, Inc. 401(k) Profit Sharing Plan | PDQ Enterprises, Inc. | CA | 330 | $18.7M | $31K |
| Readycap Commercial 401(k) Plan | Readycap Commercial, LLC | NJ | 320 | $23.8M | $23K |
| The Instantwhip Companies Profit Sharing Plan | Instantwhip Foods, Inc. | OH | 319 | $23.4M | $37K |
| Teamsters Local 408 Annuity Fund | Trustees of Teamsters Local 408 Annuity Fund | NJ | 310 | $21.3M | $30K |
Questions and answers
How many plans does Oppenheimer & Co. Inc. serve?
65 plans with 100 or more participants named it on Schedule C for plan year 2024. Plans that paid it under $5,000, small plans that file Form 5500-SF, and plans whose filings spell its name without an EIN under a different form are not counted.
What do plans pay Oppenheimer & Co. Inc.?
The median plan reported $68.69 per participant in direct and indirect compensation (63 plans reporting an amount), or 0.17% of plan net assets. Eligible indirect compensation disclosed to the plan by formula is not reported as a dollar amount, so many filings understate what a provider receives.
What services are reported?
The service codes most often attached to it are Investment advisory (plan) (44 plans), Investment advisory (participants) (6 plans), Recordkeeping and information management (6 plans) and Investment management (5 plans).
Where does this come from?
Schedule C of Form 5500, Part I line 2, from the EBSA research files with filings received through 24 Aug 2026. Individuals named on Schedule C are excluded from this site.
Provenance
Source: U.S. Department of Labor, Employee Benefits Security Administration, Form 5500 research files, Schedule C Part I line 2, public domain, with filings received through 24 Aug 2026. Rows are grouped by the provider's EIN as entered by each plan; rows without an EIN join the EIN most often filed under the same name. Providers named on fewer than 25 plans have no page. See the methodology and corrections.