Ofi Global Institutional, Inc. (New York)


Ofi Global Institutional, Inc. is a large advisory firm based in New York. It manages $10.58 billion of regulatory assets for 47 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Ofi Global Institutional provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, selection of other advisers, and model delivery. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ofi Global Institutional: assets under management

The assets under management (AUM) of Ofi Global Institutional, Inc. is $10.58 billion. The firm's AUM has grown by 163% since the beginning of its operation, and $1.2 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $9.9 billion in discretionary accounts and $674.33 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $241.54 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $112.39 million.
Ofi Global Institutional has custody of $1.36 billion in cash and securities for 6 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 66% of the total AUM. The second-largest asset type is state and local bonds, which make up 31% of the firm’s portfolio. Investments in cash and cash equivalents form 2% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ofi Global Institutional, Inc. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients John Carlin Mcdonough serves?

The firm provides services to investment companies, pooled investment vehicles, and pension and profit sharing plans. The largest group of clients of John Carlin Mcdonough is pooled investment vehicles with 19 clients and $5.48 billion of assets under management. Among the 11 most similar advisory firms, Ofi Global Institutional has the 4th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $7.95 billion for 29 clients. 20% of the firm’s clients are foreign persons or businesses.

Ofi Global Institutional also advises several private funds. Namely, seven hedge funds. The minimum investment commitment required of non-related persons ranges from $250,000 to $5,000,000.

Careers at Ofi Global Institutional, Inc.

The company employs 220 people that are either part- or full-time employees. 83 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

John Carlin Mcdonough has been acting as President since 1 Jan 2014. Jeffrey David Sharon joined the executive team most recently as the President.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Inc. Oppenheimerfunds Shareholder 1 Feb 2001 75% - 100% 13-2527171
Mark Stephen Vandehey Chief compliance officer 1 Mar 2004 Other 1018546
David Matthew Pfeffer Director and chief financial officer 1 Jan 2010 Other 4151070
Arthur Sanford Gabinet Chief legal officer 1 Jan 2011 Other 5788482
Philipp Albert Hensler Director 1 Feb 2011 Other 5014272
Kristie Marie Feinberg Treasurer 1 Jan 2013 Other 3162040
Kimberly Moulton Mustin President 1 Jan 2013 Other 4397117
John Carlin Mcdonough Director 1 Jan 2014 Other 2363299
Mary Ann Picciotto Chief compliance officer 1 Mar 2014 Other 4235357
Steven William Paddon President 1 Jan 2015 Other 1066891
Cynthia Lo Bessette Chief legal officer 1 Feb 2016 Other 6468381
Lamar Vincent Kunes President 1 Oct 2017 Other 3213833
Jeffrey David Sharon President 1 Jan 2018 Other 2503688

Indirect Owners

The SEC currently registers 9 indirect owners.

Name Entity Date acquired Ownership Employer ID
Massachusetts Mutual Life Insurance Company Member 1 Nov 1984 75% - 100% 04-1590850
Mm Asset Management Holding Llc Shareholder 1 Oct 1990 75% - 100% 45-4000072
Oppenheimer Acquisition Corporation Shareholder 1 Oct 1990 75% - 100% 84-1149206
Massachusetts Mutual Life Insurance Company Shareholder 1 Dec 1990 75% - 100% 2682
Massachusetts Mutual Life Insurance Company Member 1 Apr 1994 75% - 100% 04-1590850
Massmutual Holding Llc Member 1 Nov 2011 75% - 100% 04-2854319
Mm Asset Management Holding Llc Shareholder 1 Jan 2012 75% - 100% 45-4000072
Mm Asset Management Holding Llc Shareholder 1 Feb 2012 75% - 100% 45-4000072
Massmutual Holding Llc Sole member 1 Feb 2012 75% - 100% 04-2854319

Based in New York

The principal office where Ofi Global Institutional, Inc. performs its advisory services is located at 225 Liberty Street, 11 Th Floor, New York, NY 10281 1008, which is also the mailing address of the firm. An additional office of the firm is in Centennial, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-323-0200 or by fax 212-323-4071. The normal business hours are 9:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at ofiglobal.com.