O'Connor Capital Advisory provides financial planning and portfolio management for individuals and small businesses.
O'Connor Capital Advisory reports 38 clients. They include 38 high-net-worth individuals. Of its assets, 100.0% ($112M across 120 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| High-net-worth individuals | 100% | 80% |
| Pension and profit-sharing plans | Fewer than 5 | 7% |
| Charitable organizations | Fewer than 5 | 13% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| High-net-worth individuals | 38 | $90M | 80.3% | $2.37M |
| Pension and profit-sharing plans | Fewer than 5 | $7.74M | 6.9% | — |
| Charitable organizations | Fewer than 5 | $14.4M | 12.8% | — |
| Total | 38 | $112M | 100% | — |
- Clients
- 38
- Regulatory AUM
- $90M
- AUM share
- 80.3%
- Avg. per client
- $2.37M
- Clients
- Fewer than 5
- Regulatory AUM
- $7.74M
- AUM share
- 6.9%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $14.4M
- AUM share
- 12.8%
- Avg. per client
- —
Total
- Clients
- 38
- Regulatory AUM
- $112M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
O'Connor Capital Advisory charges 0.50%–1.00% a year for its Portfolio Management Services. The fee is billed in arrears and is negotiable.
Fee details and sources
James Oconnor owns 75% or more of O'Connor Capital Advisory. The leadership team of O'Connor Capital Advisory includes Chief Compliance Officer James Oconnor. It has 1 employee.
Leadership
James OconnorManaging Member, Chief Compliance Officer
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
Staff
- 1 employee
- 1 in advisory functions
- 1 state-registered rep
- Owns 75% or more of O'Connor Capital Advisory, LLC
James Oconnor
Control person · since December 2009
O'Connor Capital Advisory’s regulatory assets fell from $122M (June 2021) to $112M (July 2026); clients fell from 50 to 38 and employees from 2 to 1.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| July 2026 | $112M | 38 | 1 | 3 |
| June 2021 | $122M | 50 | 2 | 2 |
Besides its headquarters, O'Connor Capital Advisory has 2 offices (2 private residences, listed without an address), with 1 listed address in Arizona.
Arizona · 1 listed address
- 5635 N Scottsdale RD, Ste 170, ScottsdaleHQ
Contact and registration details
- Legal name
- O'Connor Capital Advisory, LLC
- Headquarters
- 5635 N Scottsdale RD, Ste 170, Scottsdale, AZ 85250
- Website
- occap.net
- Phone
- 480-729-6260
- SEC file
- 801-136929
- Structure
- Arizona LLC
- Fiscal year end
- December
O'Connor Capital Advisory uses Fidelity ($112M) as custodian for its separately managed accounts. O'Connor Capital Advisory does not have custody of client assets.
- FidelityFidelity Brokerage Services LLC · Dallas, TX · $112M100%
At year end, O'Connor Capital Advisory’s separately managed accounts were mostly in bonds (55%) and funds (40%).
What the accounts hold
- Funds40%
- Bonds55%
- Investment grade corporate bonds30%
- U.S. government and agency bonds25%
- Cash5%
How many clients does O'Connor Capital Advisory have?
O'Connor Capital Advisory has 38 clients and manages $112 million for them, as of July 2026. They include 38 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 2 July 2026
What services does O'Connor Capital Advisory offer?
O'Connor Capital Advisory provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does O'Connor Capital Advisory charge?
O'Connor Capital Advisory charges 0.50%–1.00% a year for its Portfolio Management Services. The fee is billed in arrears and is negotiable.
Which custodians does O'Connor Capital Advisory use?
O'Connor Capital Advisory’s separately managed account assets are held at Fidelity Brokerage Services LLC (Dallas, TX), with $112M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 July 2026
How many financial advisors does O'Connor Capital Advisory have?
O'Connor Capital Advisory has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 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
What does O'Connor Capital Advisory invest in?
At the end of its last fiscal year, O'Connor Capital Advisory’s separately managed accounts held 40% registered funds (mutual funds, ETFs, BDCs), 30% investment grade corporate bonds, 25% U.S. government and agency bonds and 5% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns O'Connor Capital Advisory?
O'Connor Capital Advisory’s direct owner is James Oconnor (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 2 July 2026
How does O'Connor Capital Advisory get paid?
O'Connor Capital Advisory 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
How do I contact O'Connor Capital Advisory?
O'Connor Capital Advisory’s main office is at 5635 N Scottsdale RD, Ste 170, Scottsdale, AZ 85250. Its phone number is 480-729-6260. Its website is occap.net.