# O'Connor Capital Advisory, LLC

> 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.

- CRD: 152687
- Filed as: O'CONNOR CAPITAL ADVISORY, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Scottsdale, AZ
- Filing period: October 2026
- Form ADV filing dated: July 2, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/152687
- AdvisorCensus page: https://advisorcensus.com/firm/o-connor-capital-advisory-llc-scottsdale-az-152687

## Quick answers

**How is O'Connor Capital Advisory, LLC compensated?**
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.

**How much does O'Connor Capital Advisory, LLC charge?**
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.

**Where is O'Connor Capital Advisory, LLC located?**
O'Connor Capital Advisory, LLC's principal office is in Scottsdale, AZ, according to its Form ADV.

**Is O'Connor Capital Advisory, LLC registered with the SEC or a state?**
O'Connor Capital Advisory, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 152687.

**How much does O'Connor Capital Advisory, LLC manage?**
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).

**What types of clients does O'Connor Capital Advisory, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (38).

**Which custodians does O'Connor Capital Advisory, LLC use?**
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.

**Does O'Connor Capital Advisory, 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/152687

**Does O'Connor Capital Advisory, LLC state an account minimum?**
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"

**What changed in O'Connor Capital Advisory, LLC's recent Form ADV filings?**
In the September 2026 filing data: Newly registered with the SEC.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated June 29, 2026)

- 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

> Fee Schedule Investment Management Services Annual Fees (Billed monthly in arrears) First $3,000,000 1.00% Next $2,000,000 0.75% Above $5,000,000 0.50%

- Account minimum: $100,000 (the brochure says it may be waived or negotiated)

> 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

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Fidelity Brokerage Services LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $112,136,990
- Discretionary: $112,136,990
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 38 | $90,046,003 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $7,737,452 |
| Charitable organizations | Fewer than 5 | $14,353,535 |

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

### Firm details
- Registered since: 2026 (0 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- occap.net

## Changes in the filing (last 12 months)

### September 2026
- Newly registered with the SEC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. O'Connor Capital Advisory, LLC (CRD 152687): Form ADV filing data as of October 2026.