O'connell Investment And Insurance Services, Llc
- Regulatory AUM
- $208M
- Discretionary
- $208M
- Clients
- 519
- Avg AUM / client
- $402K
- Accounts
- 519
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 415 | $69.9M | 33.6% |
| High net worth individuals | 42 | $52.1M | 25.0% |
| Pension and profit sharing plans | 62 | $86.4M | 41.5% |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gwendolyn Sue O'connell | Managing Member, Chief Compliance Officer | Jan 2014 (13y) | 75% or more | |
| Darin R Swall | Registered representative | Sep 2020 (6y) | ||
| Mark N. Dougal | Registered representative | Nov 2021 (5y) | ||
| Christopher Lynn Berry | Registered representative | May 2023 (3y) | ||
| Brenda Stein | Registered representative | CFP | Mar 2024 (2y) | |
| Andrea Michelle Whitmire | Registered representative | May 2024 (2y) | ||
| Collin M Bryce | Registered representative | May 2024 (2y) | ||
| Donald Lyman Watson | Registered representative | Jan 2025 (2y) | ||
| Selene Larena Sullivan | Registered representative | Personal Financial Specialist | Jan 2026 (1y) |
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) | 02/25/2026 | 1.08 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $208M (100% of AUM) Feb 2026
- Matrix Trust Company $2.8M (5% of AUM) Jun 2018
- Equity Trust Company $11.3K (0% of AUM) Jun 2018
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: Feb 25, 2026.
View current Form ADV (SEC/IAPD) ↗