O'SHAUGHNESSY ASSET MANAGEMENT, LLC – investment adviser, $19.8B regulatory AUM (Form ADV)

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
High-net-worth individuals	10,734	$16,001,154,356	80.9%
Corporations & businesses	344	$1,810,856,156	9.2%
Pooled investment vehicles	8	$1,146,020,339	5.8%
Investment companies	1	$265,665,597	1.3%
Charities	40	$235,816,479	1.2%
Government entities	9	$207,089,791	1.0%
Retirement plans	18	$69,782,622	0.4%
Sovereign wealth & foreign institutions	Fewer than 5	$45,752,781	0.2%
Individuals	Fewer than 5	$0	0.0%
Banks & thrifts	Fewer than 5	$0	0.0%
Other investment advisers	Fewer than 5	$0	0.0%
Insurance companies	Fewer than 5	$0	0.0%

Filing source

Form ADV 2033170 · Dec 16, 2025 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

3 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

POSITIVE SUM CAPITAL LPVenture Capital Fund · Last reported Nov 1, 2021$80.5MGross asset value

Fund administrator TOWER FUND SERVICES, LLC OCEANPORT, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor SPICER JEFFRIES LLP DENVER, Colorado, United States

Custodian SIGNATURE BANK GREENWICH, Connecticut, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

SPICER JEFFRIES LLP
PCAOB 349

Fund details & source

Fund ID: 805-8083794498
Reported beneficial owners: 90
Minimum commitment: $500K
Form D file number: 021-377813

Form ADV 1574881 · Nov 1, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

O'SHAUGHNESSY PARI PASSU, LPHedge Fund · Last reported Aug 20, 2013$8.4MGross asset value

Fund administrator COHEN & ASSOCIATES, LLC, CPA WESTPORT, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian GOLDMAN, SACHS & CO. NYC, New York, United States Related to adviser: No

Prime broker GOLDMAN, SACHS & CO. NYC, New York, United States

Provider details

Annual audit: No
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GOLDMAN, SACHS & CO.
SEC 8-129

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

Fund details & source

Fund ID: 805-2496181416
Reported beneficial owners: 1
Minimum commitment: $1M

Form ADV 748901 · Aug 20, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

O'SHAUGHNESSY INTERNATIONAL MARKET LEADERS VALUE LPOther Private Fund · Last reported Oct 30, 2019$0Gross asset value

Fund administrator TOWER FUND SERVICES, LLC RED BANK, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor SPICER JEFFRIES LLP DENVER, Colorado, United States

Custodian BNY MELLON PITTSBURGH, Pennsylvania, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

SPICER JEFFRIES LLP
PCAOB 349

Fund details & source

Fund ID: 805-7370198307
Reported beneficial owners: 0
Minimum commitment: $1M

Form ADV 1353539 · Oct 30, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Dec 16, 2025. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

100 FIRST STAMFORD PLACE
STAMFORD, CT, 06902, United States

CRD 144594

Filing source

Form ADV 2033170 · Dec 16, 2025 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.