AdvisorCensus / Financial advisors / New York / New York / O'Brien Capital Management, Inc.
O'Brien Capital Management, Inc. is an SEC-registered investment advisory firm in Nyack, NY, registered since 2021, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 27, 2026.
Quick answers
From the filingHow is O'Brien Capital Management, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), O'Brien Capital Management, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
How much does O'Brien Capital Management, Inc. charge?
Its Form ADV Part 2A brochure dated March 27, 2026 states: Hourly rate: $300 an hour; Flat fee: $500 to $3,000. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is O'Brien Capital Management, Inc. located?
O'Brien Capital Management, Inc.'s principal office is in Nyack, NY, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is O'Brien Capital Management, Inc. registered with the SEC or a state?
O'Brien Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 136100.
How much does O'Brien Capital Management, Inc. manage?
O'Brien Capital Management, Inc. reports $40,600,000 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary).
How have O'Brien Capital Management, Inc.'s assets and staff changed since 2021?
In the Form ADV data for O'Brien Capital Management, Inc.: Regulatory assets under management: $27,651,000 in the October 2021 data and $40,600,000 in the October 2026 data, up 47%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does O'Brien Capital Management, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (28); high net worth individuals (15).
Which custodians does O'Brien Capital Management, Inc. use?
O'Brien Capital Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.
Does O'Brien Capital Management, Inc. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/136100
Does O'Brien Capital Management, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated March 27, 2026 says: "OCM generally imposes a minimum of $300,000 of assets under management for new clients; however, OCM reserves the right and the sole discretion to waive this minimum under certain circumstances."
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAccount minimum: $300,000 (the brochure says it may be waived or negotiated)
The brochure's wording
OCM generally imposes a minimum of $300,000 of assets under management for new clients; however, OCM reserves the right and the sole discretion to waive this minimum under certain circumstances.
Hourly rate: $300 an hour
The brochure's wording
The fee for hourly service is $300 per hour.
Flat fee: $500 to $3,000
The brochure's wording
Flat Fees. OCM may render services on a flat fee basis. Flat fees will range from $500 - $3,000.
As stated in the firm's Form ADV Part 2A brochure dated March 27, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$40,600,000 as of October 2026, filing dated March 27, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2021 (5 years)
- Employees
- Total: 1. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the April 2026 filing
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $40,600,000 | 1 | March 27, 2026 |
| October 2025 | $37,187,838 | 1 | March 24, 2025 |
| October 2024 | $32,860,290 | 1 | March 22, 2024 |
| October 2023 | $27,950,822 | 1 | March 21, 2023 |
| October 2022 | $29,638,784 | 1 | March 25, 2022 |
| October 2021 | $27,651,000 | 1 | May 6, 2021 |
Regulatory assets under management: $27,651,000 in the October 2021 data and $40,600,000 in the October 2026 data, up 47%.
Total employees: 1 in October 2021 and 1 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. O'Brien Capital Management, Inc. (CRD 136100): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/o-brien-capital-management-inc-nyack-ny-136100