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Asset/Investment Management
FINANCIAL | Asset/Financial Management
oppenheimerfunds.com

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Investments

25

Portfolio Exits

17

Funds

1

Partners & Customers

3

About OppenheimerFunds

OppenheimerFunds is an asset management firm. The firm's investment management teams specialize in equity, fixed income, alternative, multi-asset, and revenue-weighted-ETF strategies, including ESG. OppenheimerFunds and its subsidiaries offer a broad array of products and services to clients, who range from endowments and sovereigns to financial advisors and individual investors. OppenheimerFunds and certain subsidiaries provide advisory services to the Oppenheimer family of funds.

OppenheimerFunds Headquarter Location

Two World Financial Center 225 Liberty Street

New York, New York, 10281,

United States

212-323-0200

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Latest OppenheimerFunds News

Ex-OppenheimerFunds Analyst Charged With $8.5M Insider Trading Scheme

Sep 24, 2021

X X What You Need to Know The ex-OppenheimerFunds analyst faces up to 45 years in prison on fraud charges. He is accused of front-running large trades by the firm and profiting off of the price movement. After leaving OppenheimerFunds, he went on to co-found the health tech firm WellAI and serves as its CEO. A former OppenheimerFunds analyst faces up to 45 years in prison after being charged with securities fraud, wire fraud and investment company fraud in connection with his alleged scheme to misappropriate confidential information about pending trades by his employer on behalf of its clients. Sergei Polevikov , 48, of Port Washington, New York, was arrested Wednesday night and appeared before Magistrate Judge James L. Cott in U.S. District Court for the Southern District of New York on Thursday, according to Audrey Strauss , the U.S. attorney for the Southern District of New York in Manhattan. He was released on $1.5 million in bail and a preliminary healing is scheduled for Oct. 25, according to court documents. According to the complaint filed Tuesday and unsealed Thursday, Polevikov was charged with one count of securities fraud, one count of wire fraud and one count of investment company fraud. Polevikov, who also co-founded the health care tech firm WellAI in 2019 and serves as its CEO, faces a maximum sentence of 20 years in prison on each of the securities fraud and wire fraud charges, and five years in prison on the investment company fraud charge, according to Strauss. The Securities and Exchange Commission filed a related civil action against Polevikov in the same court on Thursday. Polevikov worked for OppenheimerFunds, which was acquired by Invesco in 2018, for more than 15 years, from 2004-2019, first as a senior risk analyst, then as a portfolio manager and director of asset allocation research, and last, as vice president, senior multi-asset quant, head of factor research, according to his LinkedIn profile. The Latest “Invesco provided the government with information in connection with the investigation and will provide any additional assistance requested by the government in connection with its pursuit of the matters initiated today against this individual,” Invesco spokeswoman Jeaneen Terrio told ThinkAdvisor on Friday. Polevikov, his attorney and WellAI did not immediately respond to requests for comment. “As alleged, Sergei Polevikov violated not just the terms of his employment but also the law when he exploited material, nonpublic information to make personal trades ahead of large institutional trades, reaping more than $8 million in illicit profits,” according to Strauss. In his role at OppenheimerFunds, Polevikov had regular access to information regarding contemplated securities trades on behalf of the employer firm’s clients, which included investment companies, according to the complaint, which did not mention OppenheimerFunds by name. During his time at the firm, he engaged in a front-running scheme to misappropriate confidential, material, nonpublic information about the securities trade orders of the OppenheimerFunds on behalf of its clients to engage in short-term personal securities trading in a brokerage account opened in his wife’s name, according to the complaint. His scheme was designed to profit by executing trades taking advantage of relatively small price movements in a company’s stock that followed from large securities orders executed by the firm on behalf of its clients. In total, his scheme allegedly yielded more than $8.5 million in illicit profits. To conceal his front-running scheme, he allegedly lied to the firm about his personal trading accounts and securities trades conducted, in violation of the Investment Company Act.

OppenheimerFunds Investments

25 Investments

OppenheimerFunds has made 25 investments. Their latest investment was in Yandex as part of their PIPE on January 1, 2019.

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OppenheimerFunds Investments Activity

investments chart

Date

Round

Company

Amount

New?

Co-Investors

Sources

1/22/2019

PIPE

Yandex

Yes

3

10/29/2018

PIPE

RaySearch Laboratories

Yes

1

8/2/2018

Series H - II

Grab

$1,000M

Yes

16

9/8/2015

Series F - II

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$99M

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10

5/16/2011

Unattributed VC - II

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$99M

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10

Date

1/22/2019

10/29/2018

8/2/2018

9/8/2015

5/16/2011

Round

PIPE

PIPE

Series H - II

Series F - II

Unattributed VC - II

Company

Yandex

RaySearch Laboratories

Grab

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Amount

$1,000M

$99M

$99M

New?

Yes

Yes

Yes

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Co-Investors

Sources

3

1

16

10

10

OppenheimerFunds Portfolio Exits

17 Portfolio Exits

OppenheimerFunds has 17 portfolio exits. Their latest portfolio exit was Grab on December 02, 2021.

Date

Exit

Companies

Valuation
Valuations are submitted by companies, mined from state filings or news, provided by VentureSource, or based on a comparables valuation model.

Acquirer

Sources

12/2/2021

Reverse Merger

$991

47

6/30/2021

IPO

$991

7

5/16/2014

Acq - P2P

$991

1

00/00/0000

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$991

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10

00/00/0000

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10

Date

12/2/2021

6/30/2021

5/16/2014

00/00/0000

00/00/0000

Exit

Reverse Merger

IPO

Acq - P2P

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Companies

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Valuation

$991

$991

$991

$991

Acquirer

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Sources

47

7

1

10

10

OppenheimerFunds Acquisitions

3 Acquisitions

OppenheimerFunds acquired 3 companies. Their latest acquisition was SNW Asset Management on March 06, 2017.

Date

Investment Stage

Companies

Valuation
Valuations are submitted by companies, mined from state filings or news, provided by VentureSource, or based on a comparables valuation model.

Total Funding

Note

Sources

3/6/2017

Unattributed

$4.64M

Acquired

1

9/9/2015

Private Equity

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$99M

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10

1/5/2006

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$99M

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10

Date

3/6/2017

9/9/2015

1/5/2006

Investment Stage

Unattributed

Private Equity

Companies

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Valuation

Total Funding

$4.64M

$99M

$99M

Note

Acquired

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Sources

1

10

10

OppenheimerFunds Fund History

1 Fund History

OppenheimerFunds has 1 fund, including Oppenheimer SteelPath MLP & Energy Infrastructure Fund.

Closing Date

Fund

Fund Type

Status

Amount

Sources

Oppenheimer SteelPath MLP & Energy Infrastructure Fund

1

Closing Date

Fund

Oppenheimer SteelPath MLP & Energy Infrastructure Fund

Fund Type

Status

Amount

Sources

1

OppenheimerFunds Partners & Customers

3 Partners and customers

OppenheimerFunds has 3 strategic partners and customers. OppenheimerFunds recently partnered with ForwardLane on November 11, 2018.

Date

Type

Business Partner

Country

News Snippet

Sources

11/12/2018

Partner

ForwardLane

United States

1

9/18/2015

Partner

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10

Vendor

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10

Date

11/12/2018

9/18/2015

Type

Partner

Partner

Vendor

Business Partner

ForwardLane

Country

United States

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News Snippet

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Sources

1

10

10

OppenheimerFunds Team

10 Team Members

OppenheimerFunds has 10 team members, including current President, John Vincent Murphy.

Name

Work History

Title

Status

John Vincent Murphy

President

Current

Arthur Steinmetz

Chief Executive Officer

Former

Michael Rosen

President

Former

Sharon French

Executive Vice President

Former

David Foxhoven

Senior Vice President

Former

Name

John Vincent Murphy

Arthur Steinmetz

Michael Rosen

Sharon French

David Foxhoven

Work History

Title

President

Chief Executive Officer

President

Executive Vice President

Senior Vice President

Status

Current

Former

Former

Former

Former

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