# OPPENHEIMERFUNDS INC

OPPENHEIMERFUNDS INC of ATLANTA, GA is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 104983
- Type: SEC-registered investment adviser
- SEC file number: 801-8253
- Location: 1331 SPRING STREET NW, SUITE 2500, ATLANTA, GA, 30309
- Phone: 404-892-0896
- Latest filing: 2026-03-30
- Regulatory AUM: $828K
- Discretionary AUM: $828K
- Clients: 15
- Accounts: 1

## Business model

- Compensation: % of AUM
- Clients served: Charities, Investment cos, Other

## Officers, owners & control persons (58)

_Showing 25 of 58 people._

| Name | Role | Location |
| --- | --- | --- |
| Terry Gibson VACHERON | DIRECTOR | Atlanta, GA |
| Laura Allison Dukes | DIRECTOR, CHIEF EXECUTIVE OFFICER, AND PRESIDENT | — |
| Mark William Gregson | CHIEF FINANCIAL OFFICER | — |
| Melanie Ringold | SECRETARY AND SENIOR VICE PRESIDENT | — |
| Gregory Wade Ketron | DIRECTOR | — |
| Kevin William Oldham | TREASURER | — |
| Devin Kristine Hummel | CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT, AND SENIOR COMPLIANCE MANAGER | — |
| WIXTED BRIAN WILLIAM | SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT, TREASURER; TREASURER | — |
| MURPHY JOHN VINCENT | CEO, CHAIRMAN & DIRECTOR; CHAIRMAN & DIRECTOR; CHIEF EXECUTIVE OFFICER (+2 more) | — |
| ZACK ROBERT GREGORY | EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL; GENERAL COUNSEL (+1 more) | — |
| WOLFGRUBER KURT JOHN | CHIEF INVESTMENT OFFICER; PRESIDENT | — |
| VANDEHEY MARK STEPHEN | CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| RUFF JAMES HERMAN | EXECUTIVE VICE PRESIDENT | — |
| KNOTT RICHARD WILLIAM | EXECUTIVE VICE PRESIDENT | — |
| DINSELL CRAIG P | EXECUTIVE VICE PRESIDENT | — |
| PFEFFER DAVID MATTHEW | CHIEF FINANCIAL OFFICER; DIRECTOR & CHIEF FINANCIAL OFFICER; EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR AND TREASURER (+1 more) | — |
| BALDWIN MICHAEL AN | EXECUTIVE VICE PRESIDENT | — |
| KUPOR JEFFREY HOWARD | SECRETARY AND VICE PRESIDENT | — |
| STARR LOREN MICHAEL | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT; DIRECTOR, SECRETARY AND VICE PRESIDENT | — |
| DONOHUE ANDREW JOHN | DIRECTOR; DIRECTOR & CLO | — |
| WARD ELIZABETH ANN | DIRECTOR | — |
| CORBETT M TIMOTHY | DIRECTOR | — |
| CRANDALL ROGER WILLIAM | DIRECTOR | — |
| ROLLINGS MICHAEL THOMAS | DIRECTOR | — |
| GLAVIN WILLIAM FRANCIS | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR; CHIEF EXECUTIVE OFFICER & DIRECTOR; DIRECTOR | — |


## Disclosures (18)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2025-08-29 | regulatory | THE ALLEGATION IS THAT ON JUNE 29, 2022 THE FUNDS SOLD SECURITIES THAT WERE NOT IN CUSTODY IN VIOLATION OF KOREAN REGULATORY PROHIBITIONS ON SHORT SALES. | Final | $375K |
| 2023-05-15 | regulatory | THE SEC ALLEGED THAT INVESCO ADVISERS, INC. ("IAI") AND INVESCO DISTRIBUTORS, INC. ("IDI") FAILED TO ADEQUATELY PRESERVE CERTAIN ELECTRONIC COMMUNICATIONS PURSUANT TO APPLICABLE RECORDKEEPING PROVISIONS OF FEDERAL SECURITIES LAW. | Final | $35.0M |
| 2022-11-28 | regulatory | THE SEC ALLEGED THAT INVESCO ADVISERS, INC. ("IAI") LACKED COMPREHENSIVE POLICIES AND PROCEDURES TO DETERMINE THE PERCENTAGE OF COMPANY-WIDE ASSETS UNDER MANAGEMENT ("AUM") THAT WAS ESG INTEGRATED. THE SEC ALSO ALLEGED THAT IAI MADE MISLEADING STATEMENTS CONCERNING THE COMPANY-WIDE PERCENTAGE OF AUM… | Final | $17.5M |
| 2022-09-29 | regulatory | THE ALLEGATION IS THAT ON MARCH 19, 2021 THE FUND SOLD SECURITIES THAT WERE NOT IN CUSTODY IN VIOLATION OF KOREAN REGULATORY PROHIBITIONS ON SHORT SALES. | Final | $49K |
| 2020-07-30 | regulatory | INVESCO LTD AND AIM INTERNATIONAL MUTUAL FUNDS FAILED TO SUBMIT VOTING RIGHTS NOTIFICATIONS TO BAFIN AND THE ISSUERS BY THE REQUIRED DEADLINE. BAFIN ISSUED A NOTICE OF HEARING ON JULY 30, 2020 TO INVESCO LTD. ALLEGING THAT VIOLATIONS OF THE VOTING RIGHTS REQUIREMENTS OCCURED ON 26 OCCASSIONS RELATIN… | Final | $310K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/104983/brochure
- Similar advisers: https://search.stillhousedata.com/firm/104983/similar
- Related entities: https://search.stillhousedata.com/firm/104983/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/104983

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.