# O'Brien and Associates, Inc.

> O'Brien and Associates, Inc. is a state-registered investment advisory firm, registered since 1999, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated January 12, 2026.

- CRD: 115159
- Filed as: O'BRIEN AND ASSOCIATES, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Iowa
- Filing period: October 2026
- Form ADV filing dated: January 12, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/115159
- AdvisorCensus page: https://advisorcensus.com/firm/o-brien-and-associates-inc-115159

## Quick answers

**How is O'Brien and Associates, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), O'Brien and Associates, Inc. reports these compensation arrangements: a percentage of assets under its management.

**Is O'Brien and Associates, Inc. registered with the SEC or a state?**
O'Brien and Associates, Inc. is a state-registered investment advisory firm, registered since 1999. Status as filed: APPROVED. CRD 115159.

**How much does O'Brien and Associates, Inc. manage?**
O'Brien and Associates, Inc. reports $49,429,651 in regulatory assets under management in its Form ADV filing dated January 12, 2026 (0% discretionary).

**What types of clients does O'Brien and Associates, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (66); high net worth individuals (17).

**Does O'Brien and Associates, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/115159

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $49,429,651
- Discretionary: $0
- Non-discretionary: $49,429,651

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 66 | $20,234,570 |
| High net worth individuals | 17 | $28,717,131 |
| Charitable organizations | Fewer than 5 | $477,950 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 1999 (27 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: IA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. O'Brien and Associates, Inc. (CRD 115159): Form ADV filing data as of October 2026.