{"url":"https://nivawealth.com/firms/o-connor-capital-advisory-152687","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/152687","regulatoryAum":112136990,"crd":"152687","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8277776","suffix":null,"lastName":"O'Connor","firstName":"Sean","middleName":"Patrick"},{"crd":"1509766","suffix":"II","lastName":"OCONNOR","firstName":"JAMES","middleName":"HARVEY"}],"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":"2021-06-16","regulatoryAum":121852699,"clients":50,"employees":2,"offices":2},{"filedOn":"2026-07-02","regulatoryAum":112136990,"clients":38,"employees":1,"offices":3}],"secFileNumber":"801-136929","legalName":"O'Connor Capital Advisory, LLC","displayName":"O'Connor Capital Advisory","slug":"o-connor-capital-advisory-152687","website":"https://occap.net/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Arizona limited liability company","fiscalYearEnd":"December","headquarters":{"street":"5635 N Scottsdale RD, Ste 170","city":"Scottsdale","state":"AZ","stateName":"Arizona","country":"United States","postalCode":"85250"},"tradeNames":[],"registration":{"secApproved":"5 August 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2369631.6578947366,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":112136990,"discretionary":112136990,"discretionaryAccounts":120,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":38,"regulatoryAum":90046003},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":7737452},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":14353535}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050055","versionId":1050055,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-06-29","documentName":"FORM ADV PART 2A","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":"2026-10-22T14:04:06.684002+00:00","documents":[{"name":"FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050055","versionId":1050055,"submittedOn":"2026-06-29"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048066","versionId":1048066,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=864498","versionId":864498,"submittedOn":null}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Dallas, TX","smaAssets":112136990}],"custodyNote":"O'Connor Capital Advisory does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"James Oconnor","title":"Managing Member, Chief Compliance Officer","crd":"1509766"}],"ownership":[{"label":"James Oconnor","detail":"Managing member, chief compliance officer in the 75% or more ownership band and a control person, since December 2009."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"5635 N Scottsdale RD, Ste 170","city":"Scottsdale","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"480-729-6260","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"U.S. government/agency bonds","percent":25},{"label":"Investment grade corporate bonds","percent":30},{"label":"Securities issued by registered investment companies or business development companies","percent":40},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"2 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/152687/PDF/152687.pdf","brochureDate":"29 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050055","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'Connor Capital Advisory have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does O'Connor Capital Advisory offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does O'Connor Capital Advisory charge?","answer":"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.","source":"FORM ADV PART 2A, filed 29 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does O'Connor Capital Advisory use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does O'Connor Capital Advisory have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does O'Connor Capital Advisory invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns O'Connor Capital Advisory?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does O'Connor Capital Advisory get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact O'Connor Capital Advisory?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 2 July 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."}