O'connor Capital Advisory, Llc
- Regulatory AUM
- $112M
- Discretionary
- $112M
- Clients
- 38
- Avg AUM / client
- $3.0M
- Accounts
- 120
- Employees
- 1
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 02, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 38 | $90.0M | 80.3% |
| Pension and profit sharing plans | Fewer than 5 | $7.7M | 6.9% |
| Charitable organizations | Fewer than 5 | $14.4M | 12.8% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Harvey Oconnor | Managing Member, Chief Compliance Officer | Dec 2009 (17y) | 75% or more | |
| Sean Patrick O'connor | Registered representative | May 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/02/2026 | 1.18 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Fidelity Brokerage Services $112M (100% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 02, 2026.
View current Form ADV (SEC/IAPD) ↗