{"url":"https://nivawealth.com/firms/o-connell-investment-and-insurance-services-290254","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/290254","regulatoryAum":208438586,"crd":"290254","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6234644","suffix":null,"lastName":"BERRY","firstName":"CHRISTOPHER","middleName":"LYNN"},{"crd":"4793496","suffix":null,"lastName":"BRYCE","firstName":"COLLIN","middleName":"M"},{"crd":"4659447","suffix":null,"lastName":"DOUGAL","firstName":"MARK","middleName":"N."},{"crd":"4326521","suffix":null,"lastName":"O'CONNELL","firstName":"GWENDOLYN","middleName":"SUE"},{"crd":"6254128","suffix":null,"lastName":"Stein","firstName":"Brenda","middleName":null},{"crd":"5837051","suffix":null,"lastName":"Sullivan","firstName":"Selene","middleName":"Larena"},{"crd":"7012548","suffix":null,"lastName":"Swall","firstName":"Darin","middleName":"R"},{"crd":"3110609","suffix":null,"lastName":"WATSON","firstName":"DONALD","middleName":"LYMAN"},{"crd":"7770101","suffix":null,"lastName":"Whitmire","firstName":"Andrea","middleName":"Michelle"}],"total":9,"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":"2022-03-21","regulatoryAum":112566907,"clients":284,"employees":6,"offices":3},{"filedOn":"2023-05-30","regulatoryAum":108928654,"clients":338,"employees":6,"offices":4},{"filedOn":"2024-04-16","regulatoryAum":121770792,"clients":268,"employees":7,"offices":6},{"filedOn":"2025-06-18","regulatoryAum":165634211,"clients":446,"employees":9,"offices":6},{"filedOn":"2026-02-25","regulatoryAum":208438586,"clients":519,"employees":9,"offices":6}],"secFileNumber":"801-123534","legalName":"O'Connell Investment and Insurance Services, LLC","displayName":"O'Connell Investment and Insurance Services","slug":"o-connell-investment-and-insurance-services-290254","website":"https://pacificcrestwealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/gowealthmanagement/","founded":null,"organization":"Oregon corporation","fiscalYearEnd":"December","headquarters":{"street":"4710 Village Plaze Loop, Suite 240","city":"Eugene","state":"OR","stateName":"Oregon","country":"United States","postalCode":"97401"},"tradeNames":["Pacific Crest Wealth Management"],"registration":{"secApproved":"25 March 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":266958.42450765864,"staff":{"employees":9,"advisory":9,"brokerDealerReps":0,"insuranceAgents":7,"promoters":0},"aum":{"regulatory":208438586,"discretionary":208148246,"discretionaryAccounts":517,"nonDiscretionary":290340,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":415,"regulatoryAum":69933208},{"label":"High-net-worth individuals","clients":42,"regulatoryAum":52066792},{"label":"Pension and profit-sharing plans","clients":62,"regulatoryAum":86438586}],"feePrograms":[{"role":"main","program":"Investment Management Fees","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011987","versionId":1011987,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-02-25","documentName":"2A BROCHURE","fee_rate_low":null,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Consulting Services","summary":"Consulting is negotiated and billed as services are rendered, up to $265 per hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011987","versionId":1011987,"submittedOn":"2026-02-25","documentName":"2A BROCHURE"},{"role":"other","program":"Employer-Sponsored Retirement Plan Services","summary":"Retirement plan advisory fees are negotiated with the client, with a maximum of 1.00% a year; a plan may elect a flat fee that does not exceed 2.00% of assets under management.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011987","versionId":1011987,"submittedOn":"2026-02-25","documentName":"2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:54:41.825106+00:00","documents":[{"name":"2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011987","versionId":1011987,"submittedOn":"2026-02-25"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":208436586}],"custodyNote":"O'Connell Investment and Insurance Services does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Gwendolyn O'Connell","title":"President, Chief Compliance Officer","crd":"4326521"}],"ownership":[{"label":"Gwendolyn O'Connell","detail":"President, chief compliance officer in the 75% or more ownership band and a control person, since January 2014."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":5,"privateResidences":4},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"1757 E Baseline Road","city":"Gilbert"}]},{"state":"Oregon","offices":1,"addresses":[{"street":"4710 Village Plaze Loop, Suite 240","city":"Eugene","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"541-338-7631","stateRegisteredReps":9,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":25},{"label":"Non-exchange-traded equity securities","percent":18},{"label":"Investment grade corporate bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":41},{"label":"Cash and cash equivalents","percent":7},{"label":"Other","percent":8,"detail":"Alternatives"}],"privateFunds":0},"sources":{"adv1FilingDate":"25 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/290254/PDF/290254.pdf","brochureDate":"25 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011987","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'Connell Investment and Insurance Services have?","answer":"O'Connell Investment and Insurance Services has 519 clients and manages $208 million for them, as of February 2026. They include 415 individual clients, 62 pension and profit-sharing plans, and 42 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does O'Connell Investment and Insurance Services offer?","answer":"O'Connell Investment and Insurance Services provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","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'Connell Investment and Insurance Services charge?","answer":"O'Connell Investment and Insurance Services charges up to 2.00% a year for its Investment Management Fees. The fee is billed in advance and is negotiable.","source":"2A BROCHURE, filed 25 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does O'Connell Investment and Insurance Services use?","answer":"O'Connell Investment and Insurance Services’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $208M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does O'Connell Investment and Insurance Services have?","answer":"O'Connell Investment and Insurance Services has 9 investment adviser representatives registered with state securities authorities, out of 9 employees, and 9 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 7 employees are 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'Connell Investment and Insurance Services invest in?","answer":"At the end of its last fiscal year, O'Connell Investment and Insurance Services’ separately managed accounts held 41% registered funds (mutual funds, ETFs, BDCs), 25% exchange-traded equities, 18% non-exchange-traded equities, 8% other, 7% cash and equivalents and 4% investment grade corporate bonds. The 8% other category is described as: Alternatives.","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'Connell Investment and Insurance Services?","answer":"O'Connell Investment and Insurance Services’ direct owner is Gwendolyn O'Connell (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does O'Connell Investment and Insurance Services get paid?","answer":"O'Connell Investment and Insurance Services is paid through a percentage of assets under management, hourly charges and fixed fees. 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":"How do I contact O'Connell Investment and Insurance Services?","answer":"O'Connell Investment and Insurance Services’ main office is at 4710 Village Plaze Loop, Suite 240, Eugene, OR 97401. Its phone number is 541-338-7631. Its website is pacificcrestwealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 25 February 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."}