OppenheimerFunds Inc

OppenheimerFunds, Inc. is an SEC-registered investment adviser that provides portfolio advisory services primarily to pooled investment vehicles; its brochure identifies OFI Global China Fund, LLC (a registered investment company) as a client and reports approximately $827,684 in discretionary assets managed for that client as of December 31, 2025. The Adviser’s stated strategies focus on providing emerging markets equity exposure for pooled funds.

The firm describes an active, value-oriented emerging markets equity approach that seeks undervalued, cash‑generative companies and uses a mix of fundamental, quantitative, technical and top‑down analysis; strategies may be actively managed, model‑based or index‑based depending on the mandate. The brochure also discloses that Invesco and its affiliates use artificial intelligence to support research and operational workflows, with human oversight and authorized‑tool controls.

The brochure highlights that OFI operates within the larger Invesco group and maintains a range of related‑party arrangements uncommon for many managers of pooled vehicles — including affiliated broker‑dealers (ICMI and IDI), an affiliated transfer agent, an affiliated trust company that manages collective trusts, an affiliated index provider, and the ability to select or delegate to other advisers or sub‑advisers and engage in securities‑lending activities. It also discloses historical disciplinary matters involving advisory affiliates and regulatory settlements and fines, and describes policies, information barriers and compliance enhancements intended to address the related conflicts and operational risks.