AdvisorCensus / Financial advisors / California / Los Angeles / O'Brien Investment Management, LLC
O'Brien Investment Management, LLC is an SEC-registered investment advisory firm in Torrance, CA, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 27, 2026.
Quick answers
From the filingHow is O'Brien Investment Management, LLC compensated?
On its Form ADV (Item 5.E, October 2026), O'Brien Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management.
What does O'Brien Investment Management, LLC's brochure say about its fees?
Its Form ADV Part 2A brochure dated August 27, 2026 states: Up to $1,000,000: 1% a year; $1,000,000 to $3,000,000: 0.9% a year; $3,000,000 to $5,000,000: 0.75% a year; $5,000,000 to $10,000,000: 0.6% a year; Above $10,000,000: 0.5% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is O'Brien Investment Management, LLC located?
O'Brien Investment Management, LLC's principal office is in Torrance, CA, according to its Form ADV.
Is O'Brien Investment Management, LLC registered with the SEC or a state?
O'Brien Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 284057.
How much does O'Brien Investment Management, LLC manage?
O'Brien Investment Management, LLC reports $254,332,886 in regulatory assets under management in its Form ADV filing dated August 27, 2026 (100% discretionary).
How have O'Brien Investment Management, LLC's assets and staff changed since 2021?
In the Form ADV data for O'Brien Investment Management, LLC: Regulatory assets under management: $153,892,685 in the October 2021 data and $254,332,886 in the October 2026 data, up 65%. Total employees: 4 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does O'Brien Investment Management, LLC serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (96); individuals (other than high net worth individuals) (69); pension and profit sharing plans (but not the plan participants or government pension plans) (2).
Which custodians does O'Brien Investment Management, LLC use?
O'Brien Investment Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets.
Does O'Brien Investment Management, LLC 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/284057
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
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 2A| Assets | Annual rate |
|---|---|
| Up to $1,000,000 | 1% |
| $1,000,000 to $3,000,000 | 0.9% |
| $3,000,000 to $5,000,000 | 0.75% |
| $5,000,000 to $10,000,000 | 0.6% |
| Above $10,000,000 | 0.5% |
The brochure's wording
O’Brien charges advisory fees for investment management services. All fees are negotiable. O’Brien’s advisory fees are charged based on a percentage of the client’s total assets under management.
1.00% of the first $1,000,000
0.90% of the next $2,000,000 (up to $3,000,000)
0.75% of the next $2,000,000 (up to $5,000,000)
0.60% of the next $5,000,000 (up to $10,000,000)
0.50% on assets above $10,000,000
As stated in the firm's Form ADV Part 2A brochure dated August 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$254,332,886 as of October 2026, filing dated August 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- 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
- 2020 (6 years)
- Employees
- Total: 3. Performing investment advisory functions: 2.
- 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.
- States registered or notice-filed
-
3 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 | $254,332,886 | 3 | August 27, 2026 |
| October 2025 | $231,291,668 | 3 | March 31, 2025 |
| October 2024 | $192,679,790 | 3 | March 15, 2024 |
| October 2023 | $154,105,631 | 3 | March 30, 2023 |
| October 2022 | $171,506,406 | 4 | September 29, 2022 |
| October 2021 | $153,892,685 | 4 | June 24, 2021 |
Regulatory assets under management: $153,892,685 in the October 2021 data and $254,332,886 in the October 2026 data, up 65%.
Total employees: 4 in October 2021 and 3 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 Investment Management, LLC (CRD 284057): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/o-brien-investment-management-llc-torrance-ca-284057