{ "crd_number": 152687, "slug": "o-connor-capital-advisory-llc-scottsdale-az-152687", "primary_business_name": "O'CONNOR CAPITAL ADVISORY, LLC", "legal_name": "O'CONNOR CAPITAL ADVISORY, LLC", "dbas": [], "city": "Scottsdale", "state": "AZ", "country": "United States", "cbsa_code": "38060", "metro": { "cbsa_code": "38060", "common_name": "Phoenix", "msa_name": "Phoenix-Mesa-Chandler, AZ", "path": "/advisors/az/phoenix" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2026-08-05", "years_registered": 0, "period": "2026-10-01", "filing_date": "2026-07-02", "carried_forward": false, "raum_total": 112136990.0, "raum_discretionary": 112136990.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 14353535.0, "count": null, "fewer_than_5": true }, "pension_profit_sharing": { "raum": 7737452.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 90046003.0, "count": 38 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "AZ", "CA" ], "websites": [ "https://occap.net" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/152687", "city_as_filed": "SCOTTSDALE", "url": "https://advisorcensus.com/firm/o-connor-capital-advisory-llc-scottsdale-az-152687", "display_name": "O'Connor Capital Advisory, LLC", "summary": "O'Connor Capital Advisory, LLC is an SEC-registered investment advisory firm in Scottsdale, AZ, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 2, 2026.", "citation": "AdvisorCensus. O'Connor Capital Advisory, LLC (CRD 152687): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is O'Connor Capital Advisory, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), O'Connor Capital Advisory, LLC reports these compensation arrangements: a percentage of assets under its management." }, { "q": "What does O'Connor Capital Advisory, LLC's brochure say about its fees?", "a": "Its Form ADV Part 2A brochure dated June 29, 2026 states: Up to $3,000,000: 1% a year; $3,000,000 to $5,000,000: 0.75% a year; Above $5,000,000: 0.5% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is O'Connor Capital Advisory, LLC located?", "a": "O'Connor Capital Advisory, LLC's principal office is in Scottsdale, AZ, according to its Form ADV." }, { "q": "Is O'Connor Capital Advisory, LLC registered with the SEC or a state?", "a": "O'Connor Capital Advisory, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 152687." }, { "q": "How much does O'Connor Capital Advisory, LLC manage?", "a": "O'Connor Capital Advisory, LLC reports $112,136,990 in regulatory assets under management in its Form ADV filing dated July 2, 2026 (100% discretionary)." }, { "q": "What types of clients does O'Connor Capital Advisory, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (38)." }, { "q": "Which custodians does O'Connor Capital Advisory, LLC use?", "a": "O'Connor Capital Advisory, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does O'Connor Capital Advisory, LLC report any disciplinary disclosures?", "a": "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/152687" }, { "q": "Does O'Connor Capital Advisory, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated June 29, 2026 says: \"O’Connor Capital generally has a $100,000 account minimum. O’Connor Capital, in its sole discretion, may reduce its account minimum or charge a lesser investment management fee based upon certain criteria\"" }, { "q": "What changed in O'Connor Capital Advisory, LLC's recent Form ADV filings?", "a": "In the September 2026 filing data: Newly registered with the SEC." } ], "filing_history": [], "recent_changes": [ { "period": "2026-09-01", "period_label": "September 2026", "notes": [ "Newly registered with the SEC." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated June 29, 2026", "tiers": [ { "band": "Up to $3,000,000", "rate": "1%" }, { "band": "$3,000,000 to $5,000,000", "rate": "0.75%" }, { "band": "Above $5,000,000", "rate": "0.5%" } ], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$100,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": null, "figures": [ { "label": "Fee schedule", "statements": [ "Up to $3,000,000: 1% a year", "$3,000,000 to $5,000,000: 0.75% a year", "Above $5,000,000: 0.5% a year" ], "quotes": [ "Fee Schedule\nInvestment Management Services Annual Fees (Billed monthly in arrears)\nFirst $3,000,000 1.00%\nNext $2,000,000 0.75%\nAbove $5,000,000 0.50%" ] }, { "label": "Account minimum", "statements": [ "Account minimum: $100,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "O’Connor Capital generally has a $100,000 account minimum. O’Connor Capital, in its sole discretion, may reduce its account minimum or charge a lesser investment management fee based upon certain criteria" ] } ], "quotes": [ "Fee Schedule\nInvestment Management Services Annual Fees (Billed monthly in arrears)\nFirst $3,000,000 1.00%\nNext $2,000,000 0.75%\nAbove $5,000,000 0.50%", "O’Connor Capital generally has a $100,000 account minimum. O’Connor Capital, in its sole discretion, may reduce its account minimum or charge a lesser investment management fee based upon certain criteria" ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Fidelity Brokerage Services LLC", "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC", "affiliated": false } ], "custodians_note": "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.", "markdown_url": "https://advisorcensus.com/firm/o-connor-capital-advisory-llc-scottsdale-az-152687.md", "clients": [ { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 38, "fewer_than_5": false, "raum": 90046003.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 7737452.0 }, { "type": "charitable", "label": "Charitable organizations", "count": null, "fewer_than_5": true, "raum": 14353535.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/152687", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }