Carl Kirby Oppenheimer

Employer firm

Oppenheimer + Close, LLC CRD 15168

$93.0M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2013 → Present
  Oppenheimer + Close, Llc
  New York, NY

Previous Registrations

• 2008-03-31 → 2013-10-01
  Oppenheimer + Close, Llc
  New York, NY
  New York, NY

Other Businesses

MR. OPPENHEIMER SERVES AS A MANAGING MEMBER OF OPPVEST, LLC (LOCATED AT 119 W 57th STREET, SUITE 1515. NEW YORK, NY 10019.) OPPVEST, LLC IS THE GENERAL PARTNER OF 3 INVESTMENT PARTNERSHIPS. OPPVEST, LLC IS AN INVESTMENT-RELATED BUSINESS. MR. OPPENHEIMER SERVES AS AN ANALYST AND PORTFOLIO MANAGER AND HAS HAD A RELATIONSHIP WITH THE BUSINESS SINCE 2005. MR. OPPENHEIMER DEVOTES APPROXIMATELY 150 HOURS PER MONTH TO OPPVEST, LLC OF WHICH APPROXIMATELY 100 ARE DURING TRADING HOURS. MR. OPPENHEIMER SERVES AS UNPAID BOARD MEMBER OF MALABAR INVESTMENTS, LLC (AN INDIA EQUITY MANAGER LOCATED AT 104 WEST 40TH STREET, 19TH FLOOR, NEW YORK, NY 10018) SINCE JULY 13, 2012. MALABAR INVESTMENTS, LLLC IS AN INVESTMENT-RELATED BUSINESS. HE SPENDS ABOUT TWO HOURS PER MONTH CONSULTING AND ADVISING THE MANAGING MEMBERS OF MALABAR INVESTMENTS, LLCOF WHICH MOST ARE DURING TRADING HOURS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-03-18
• S63 Uniform Securities Agent State Law Examination
  2005-08-17