Oaktree Capital Management, federally registered in 1995, is a Registered Investment Advisor (RIA) in 4 state(s) with a licensed staff of 217 advisors. Oaktree Capital Management manages $101.3 billion and provides investment advisory services for 302 clients (1:2 advisor/client ratio). This firm has a disciplinary history (see below).

Benefits

high

Firm does not have any felony convictions

Firm uses a transparent fee-only model

Firm has been federally registered for 24 years

medium

Firm has $1B or more in assets under management

The firm's website is secure

Firm does not have any misdemeanor convictions

low

Firm does not have an attorney conflict

Firm does not receive soft dollar benefits

Firm provides mobile-friendly experience for their clients

Considerations

medium

Firm has previously been found guilty of violating SEC or CTFC regulation

Firm has previously been fined or ordered to cease and desist activity by the SEC or CFTC

The SEC or CFTC has previously entered an order against this firm in connection with investment-related activity

Firm is a broker-dealer, or is affiliated with one, and may be subject to compensation-related conflicts of interest

low

Firm privately manages or owns some of the products they recommend and may be incentivized to sell those products over others to their investors

Firm may recommend proprietary investments and products that generate larger commissions than other similar non-proprietary products

Firm accepts performance-based fees and may be incentivized to take inappropriate risks to beat their performance benchmark

Firm performs side-by-side management with accounts that have differing fee structures. Investment Advisors may be incentivized to favor clients that pay higher fees over others

Feature

Value

Minimum Investment

$2,000,000

Avg Account Balance

$335,404,544

Hybrid Advisor

Yes

Disciplinary History

Yes

Total AUM

$101.3 billion

Advisor / Client Ratio

1:2

Headquarters

Los Angeles, CA

SEC Filings

Forms and Brochures

State(s) Registered

CA, CT, TX, WA

Oaktree Capital Management Review

Benefits

high

medium

low

Considerations

medium

low

Firm Information

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