O'Connor Capital Advisory, LLC

CRD#152687
Investment Advisor Firm

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Overview

O'Connor Capital Advisory, LLC operates as an advisory firm that has its headquarters in Scottsdale, Arizona. O'Connor Capital Advisory, LLC controls $96.7 million in total assets over 145 accounts. O'Connor Capital Advisory, LLC has a small group of two employees, all of whom are financial advisors. O'Connor Capital Advisory, LLC is not a registered broker-dealer, meaning the company cannot buy and sell securities for its customers' and own accounts and instead must go through a broker-dealer company to do so. Securities are defined as tradable fiscal assets such as equities, options and bonds.

O'Connor Capital Advisory, LLC manages all of the firm's client assets in a discretionary manner. Discretionary management signifies that transaction decisions for the client's account are made by an investment advisor without requiring the client's approval. The company's typical account size is $666,681. Under $100,000 of their investments for financial planning services were in securities, with under $100,000 placed in non-securities. An average advisor at O'Connor Capital Advisory, LLC administers around 73 client accounts, making it about average in terms of personalization.

O'Connor Capital Advisory, LLC's central office is located at 5635 N Scottsdale Rd, Scottsdale, Arizona 85250. It is legally allowed to serve clients across a few states, including Arizona, California and Texas.

Assets Under Management

$96.7 million

Number of Advisors

2

Fee Structure

Asset-based

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: 4,943
Total Number of Accounts

145

National Average: 2,522
Average Account Size

$666.7 thousand

National Average: $1.3 million

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Products and Services

Services that O'Connor Capital Advisory, LLC provides can include financial planning services and portfolio management for individuals and small businesses. Notably, it did not provide any of its customers with financial planning services in the last fiscal year. O'Connor Capital Advisory, LLC is not engaged in selling products or offering services other than investment advice to its investment advisory accounts.

Core Advisor Services

  • Offered by 45% 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 63% of firms

    Portfolio Management

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

  • Find a firm that offers this service

    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

A financial advisor's fees usually depend on which services the firm provides the client. Fees billed by the firm typically consist of the following fee types: asset-based. The company does not supply a wrap fee program, in which the company offers a service bundle for a comprehensive fee. O'Connor Capital Advisory, LLC has the ability to withdraw the charges directly from client accounts.

Available

  • Offered by 75% 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 37% 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 3% 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 40% 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

It provides services to high net worth investors, pension plans and charitable organizations. Out of its 145 customers, O'Connor Capital Advisory, LLC's biggest client group is high net worth investors, but it also caters to 35 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 in AUM or a net worth of more than $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 accounts reside abroad.

  • 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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This content was compiled from the SEC and FINRA