Alan Derose
Financial advisor at Oppenheimer & Co. Inc.
Last updated 2026-10-10
Claim your profileAlan Derose is a financial advisor at Oppenheimer & Co. Inc., CRD 1172618. IAPD registration began 2018-08-29.
Registration
- CRD number
- 1172618
- Registration status
- Active
- IAPD registration
- 2018-08-29
- Industry Experience
- 8 years
- Work Experience
- 17 years
- States registered
- NJ, NY
Licenses and exams
No state licenses or exam codes are listed on the registration.
Work history
- 2009-02 to Present · Oppenheimer & Co. Inc. · Bew York, NY
Current employment
- Oppenheimer & Co. Inc. · New York, NY
Oppenheimer & Co. Inc.
- Regulatory AUM
- $36,710,705,748
- Registered advisors
- 1,166
- Offices
- 452
- Clients per advisor
- 33.5 (Low)
- Average AUM per client
- $940.4K (Low)
- High-net-worth client ratio
- 3.1% (Low)
Oppenheimer & Co. Inc.: advisors, services and reported ETF investments
About
Alan Derose is a financial advisor at Oppenheimer & Co. Inc.. The latest record indicates 8 years of industry experience and 17 years of reported work history.
Oppenheimer & Co. Inc.'s firm-level Form ADV reports 1,166 advisors across 452 offices; approximately 33.5 clients per advisor, average assets per client of $940,432, and regulatory AUM of $36.7B; client categories including Individuals (non-HNW), High net worth individuals, Pension and profit-sharing plans, Charitable organizations, State or municipal government entities, Insurance companies; services including Financial Planning Services, Portfolio Management: Individuals and Small Businesses, Portfolio Management: Businesses or Institutional Clients, Pension Consulting Services, Selection of Other Advisers.
PortfolioFuture's firm-level 13F analysis covers $2.7B across 557 reported ETF positions for the 2026-06-30 reporting period. These are firm-level disclosures, not investments attributed to Alan Derose personally.
Reported ETF positions
Oppenheimer & reports 557 ETF positions worth $2.7B on Form 13F; the largest are listed.
| Fund | Reported value |
|---|---|
| QQQ — Invesco QQQ Trust, Series 1 | $100.8M |
| SPY — SPDR S&P 500 ETF TRUST | $94.7M |
| IWF — iShares Russell 1000 Growth Fund | $81.7M |
| IVV — iShares Core S&P 500 ETF | $78.8M |
| VOO — Vanguard S&P 500 ETF | $71.8M |
Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
Noteworthy reported investments
Oppenheimer &'s strongest reported position on each research ranking. Institution-level evidence, not this advisor's or any client's holding.
| Ranking | Fund | Reported value | Percentile | Key figures |
|---|---|---|---|---|
| Similar Fund Ranking | CGDV — Capital Group Dividend Value ETF | $14.3M | Top 99.9% | Peer conviction 86.4% · Active return +5.44% |
| Addressable Market | DYNF — iShares U.S. Equity Factor Rotation Active ETF | $5.6M | Top 99.9% | Addressable AUM $14.9T · Peer conviction 86.8% |
| Residual Alpha | VCIT — Vanguard Intermediate-Term Corporate Bond ETF | $7.1M | Top 99.0% | Residual alpha +0.70% · Residual Sharpe 0.11 |
| Diversification Benefits | NEAR — iShares Short Duration Bond Active ETF | $15.9M | Top 99.3% | Replicability (R²) 35.2% · Residual Sharpe 1.25 |
Historical comparisons from the published research release formed 2026-10-02; not forecasts or recommendations. Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
What this firm offers
Filed by Oppenheimer & Co. Inc. on Form ADV.
Client services
- Financial Planning Services
- Individuals and Small Businesses
- Businesses or Institutional Clients
- Pension Consulting Services
- Selection of Other Advisers
Fee options
- Percentage of Assets Under Management
- Fixed Fees (Other Than Subscription)
- Commissions
Business and affiliations
- Broker-Dealer (Registered or Unregistered)
- Insurance Broker or Agent
- Sells Non-Advisory Products or Services
- Broker-Dealer or Municipal Securities Dea
- Other Investment Adviser (Incl. Financial
- Commodity Pool Operator or CTA
- Trust Company
- Insurance Company or Agency
- Pension Consultant
- Sponsor or GP of Pooled Investment Vehicl
Contact
The firm's filed contact details.
- Phone: 212-668-8000
- Website: oppenheimer.com
Official record
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