{"url":"https://nivawealth.com/firms/o-brien-investment-management-284057","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/284057","regulatoryAum":254332886,"crd":"284057","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6887246","suffix":null,"lastName":"O'Brien","firstName":"John","middleName":"Shiels"},{"crd":"1296751","suffix":null,"lastName":"O'BRIEN","firstName":"MICHAEL","middleName":"DENNIS"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-06-24","regulatoryAum":153892685,"clients":97,"employees":4,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":171506406,"clients":104,"employees":4,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":154105631,"clients":109,"employees":3,"offices":1},{"filedOn":"2024-03-15","regulatoryAum":192679790,"clients":130,"employees":3,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":231291668,"clients":157,"employees":3,"offices":1},{"filedOn":"2026-08-27","regulatoryAum":254332886,"clients":167,"employees":3,"offices":1}],"secFileNumber":"801-118289","legalName":"O'Brien Investment Management, LLC","displayName":"O'Brien Investment Management","slug":"o-brien-investment-management-284057","website":"https://obrienim.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/284057/27f745ac740394de-r1.webp","tone":"light","width":729,"height":200,"sourceUrl":"https://www.obrienim.com/","sourceLabel":"O'brien Investment Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2016","organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"24594 Hawthorne BLVD.","city":"Torrance","state":"CA","stateName":"California","country":"United States","postalCode":"90505"},"tradeNames":[],"registration":{"secApproved":"24 March 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1511642.3393939394,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":254332886,"discretionary":254332886,"discretionaryAccounts":334,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":69,"regulatoryAum":11020120},{"label":"High-net-worth individuals","clients":96,"regulatoryAum":238400866},{"label":"Pension and profit-sharing plans","clients":2,"fewerThan5":true,"regulatoryAum":4911900}],"feePrograms":[{"role":"main","program":"Investment management services","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":1,"from":0},{"to":3000000,"pct":0.9,"from":1000000},{"to":5000000,"pct":0.75,"from":3000000},{"to":10000000,"pct":0.6,"from":5000000},{"to":null,"pct":0.5,"from":10000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056261","versionId":1056261,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-08-27","documentName":"DISCLOSURE BROCHURE","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T10:13:28.059106+00:00","documents":[{"name":"DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056261","versionId":1056261,"submittedOn":"2026-08-27"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":162604550},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":4436079}],"custodyNote":"O'Brien Investment Management has custody of $132M in client assets for 62 clients.","leadership":[{"name":"Michael O'Brien","title":"President, Chief Compliance Officer","crd":"1296751"},{"name":"John O'Brien","title":"Partner","crd":"6887246"}],"ownership":[{"label":"Michael O'Brien","detail":"President, chief compliance officer in the 75% or more ownership band and a control person, since May 2016."},{"label":"John O'Brien","detail":"Partner in the 25% to 50% ownership band and a control person, since September 2020."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"24594 Hawthorne BLVD.","city":"Torrance","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"310-363-2360","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":56},{"label":"U.S. government/agency bonds","percent":17},{"label":"U.S. state and local bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":6},{"label":"Cash and cash equivalents","percent":17}],"privateFunds":0},"sources":{"adv1FilingDate":"27 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/284057/PDF/284057.pdf","brochureDate":"27 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056261","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does O'Brien Investment Management have?","answer":"O'Brien Investment Management has 167 clients and manages $254 million for them, as of August 2026. They include 96 high-net-worth individuals, 69 individual clients, and 2 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does O'Brien Investment Management offer?","answer":"O'Brien Investment Management provides portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does O'Brien Investment Management charge?","answer":"O'Brien Investment Management charges 0.50%–1.00% a year for its Investment management services. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"DISCLOSURE BROCHURE, filed 27 August 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does O'Brien Investment Management use?","answer":"O'Brien Investment Management’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $163M and Charles Schwab & Co., Inc. (San Francisco, CA), with $4.44M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does O'Brien Investment Management have?","answer":"O'Brien Investment Management has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does O'Brien Investment Management invest in?","answer":"At the end of its last fiscal year, O'Brien Investment Management’s separately managed accounts held 56% exchange-traded equities, 17% U.S. government and agency bonds, 17% cash and equivalents, 6% registered funds (mutual funds, ETFs, BDCs) and 3% state and local bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns O'Brien Investment Management?","answer":"O'Brien Investment Management’s direct owners are Michael O'Brien (75% or more) and John O'Brien (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 27 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does O'Brien Investment Management get paid?","answer":"O'Brien Investment Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is O'Brien Investment Management registered with the SEC?","answer":"Yes, O'Brien Investment Management has been registered with the SEC as an investment adviser since 24 March 2020. Its CRD number is 284057 and its SEC file number is 801-118289.","source":"Form ADV Part 1A, Item 1, filed 27 August 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact O'Brien Investment Management?","answer":"O'Brien Investment Management’s main office is at 24594 Hawthorne BLVD., Torrance, CA 90505. Its phone number is 310-363-2360. Its website is obrienim.com.","source":"Form ADV Part 1A, Item 1.F, filed 27 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}