O'Connor Capital Advisory, LLC

CRD#152687
Investment Advisor Firm

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Overview

O'Connor Capital Advisory, LLC operates as a financial advisor company headquartered in Scottsdale, Arizona. It handles $96.7 million in total assets across 145 client accounts. The company has a small team of two employees, all of whom are financial advisors. O'Connor Capital Advisory, LLC is not a registered broker-dealer, signifying that the firm cannot buy and sell securities for its clients' and own accounts and instead must go through a broker-dealer company to do so. Securities are exchangable fiscal assets such as stocks, bonds and options.

O'Connor Capital Advisory, LLC manages all of its client assets in a discretionary manner. Discretionary management means that an investment advisor has the discretion to make buy and sell decisions without requiring the customer's authorization. The investment advisory firm oversees about $666,681 in assets for every client account. Under $100,000 of their financial planning investments were in securities, with under $100,000 invested in non-securities. An average advisor at O'Connor Capital Advisory, LLC manages about 73 client accounts, making it about average in terms of personalization.

The company's headquarters is located at 5635 N Scottsdale Rd, Scottsdale, Arizona 85250. It is allowed to provide services to investors across a number of states, including Arizona, California and Texas.

Assets Under Management

$96.7 million

Number of Advisors

2

Disclosures

No

Office Location

5635 N Scottsdale Rd
Scottsdale, AZ 85250

O'Connor Capital Advisory, LLC by the Numbers

Total Assets Under Management

$96.7 million

National Average: $3.3 billion
Total Number of Employees

2

National Average: 31
Total Number of Accounts

145

National Average: 1,935
Average Account Size

$666.7 thousand

National Average: $1.7 million

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Products and Services

Financial services offered by O'Connor Capital Advisory, LLC include financial planning services and portfolio management for individuals and small businesses. However, it did not provide any of its customers with financial planning services in the last financial year. The company is not involved in selling products or offering services other than investment advice to its investment advisory accounts.

Core Advisor Services

  • Offered by 44% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 61% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

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Fee Structure

Fees for financial advisory services depend on which service is provided. Fees charged by O'Connor Capital Advisory, LLC typically consist of the following fee structures: asset-based. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by O'Connor Capital Advisory, LLC. The company can withdraw its expenses directly from client accounts.

Available

  • Offered by 72% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

Unavailable

  • Find one of the 35% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 39% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

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    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The company works with high net worth investors, pension plans and charitable organizations. Out of its 145 clients, O'Connor Capital Advisory, LLC's largest client type is high net worth investors, though it also manages money for 35 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 in AUM or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's clients are from outside of the U.S.

  • High-Net-Worth Individuals* - 92.11%
  • Other Individuals - 0%
  • Corporations - 5.26%
  • Charitable Organizations - 2.63%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

O'Connor Capital Advisory, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at O'Connor Capital Advisory, LLC

Nicholas Seltun
Coronado, CA
James Oconnor
Scottsdale, AZ

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This content was compiled from the SEC and FINRA