DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
O'Connor Capital Advisory, LLC
Latest filing Jul 2, 2026
First filing on the tape Mar 23, 2012 · 5 filings
SEC status approved since Aug 5, 2026
RAUM
$112M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$90.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$56.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$112M as of Jul 2, 2026
Mar 23, 2012$35.5M then
HNW client RAUM: $90.0M
State-registered IARs (5.B.3)1 as of Jul 2, 2026
Mar 23, 20120 then
Employees (5.A): 1
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $56.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $934,475derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$90.0M80%
- Charitable organizations$14.4M13%
- Pension and profit-sharing plans$7.7M6.9%
- Individual clients
- n/areported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 120reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.2 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Harvey Oconnor | Scottsdale, Az | Aug 19, 2010 | 40 y | 1 |
| Sean Patrick O'Connor | Santa Cruz, Ca | May 22, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Nicholas Lance Seltun to Cs Planning CorpAug 31, 2021 · RIA to RIA
Joined, latest
- Nicholas Lance Seltun from Charles Schwab & Co., Inc.Jun 14, 2013 · Other
- James Harvey Oconnor from Zions Capital Advisors, Inc.Aug 19, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Harvey James Oconnor · Managing Member, Chief Compliance Officercontrolsince 12/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Coronado, CA2 employees
What changed
consecutive filings, newest first
- Accounts · 179 to 120Jun 16, 2021 to Jul 2, 2026
- Advisory employees · 2 to 1Jun 16, 2021 to Jul 2, 2026
- HNW clients · 50 to 38Jun 16, 2021 to Jul 2, 2026
- Employees · 2 to 1Jun 16, 2021 to Jul 2, 2026
- Financial planning clients · 1-10 to 0Jun 16, 2021 to Jul 2, 2026
- State-registered IARs · 2 to 1Jun 16, 2021 to Jul 2, 2026
- Other offices · 1 to 2Jun 16, 2021 to Jul 2, 2026
- Discretionary RAUM · $122M to $112MJun 16, 2021 to Jul 2, 2026
- HNW RAUM · $102M to $90.0MJun 16, 2021 to Jul 2, 2026
- Pension RAUM · $10.9M to $7.7MJun 16, 2021 to Jul 2, 2026
- RAUM · $122M to $112MJun 16, 2021 to Jul 2, 2026
- Accounts · 56 to 179Apr 20, 2012 to Jun 16, 2021
- Advisory employees · unset to 2.0Apr 20, 2012 to Jun 16, 2021
- Advisory activities · 1 to 2Apr 20, 2012 to Jun 16, 2021
- BD registered reps · unset to 0.0Apr 20, 2012 to Jun 16, 2021
- HNW clients · unset to 50.0Apr 20, 2012 to Jun 16, 2021
- Employees · unset to 2.0Apr 20, 2012 to Jun 16, 2021
- Financial planning clients · unset to 1-10Apr 20, 2012 to Jun 16, 2021
- HQ city · unset to SCOTTSDALEApr 20, 2012 to Jun 16, 2021
- HQ state · unset to AZApr 20, 2012 to Jun 16, 2021
- State-registered IARs · 0 to 2Apr 20, 2012 to Jun 16, 2021
- Other offices · unset to 1.0Apr 20, 2012 to Jun 16, 2021
- Discretionary RAUM · $35.5M to $122MApr 20, 2012 to Jun 16, 2021
- HNW RAUM · unset to 102066199.0Apr 20, 2012 to Jun 16, 2021
- Pension RAUM · unset to 10856500.0Apr 20, 2012 to Jun 16, 2021
- RAUM · $35.5M to $122MApr 20, 2012 to Jun 16, 2021
Signals
1 dated events
- O'Connor Capital Advisory, Llc filed its initial SEC registration (Form ADV)Jun 16, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- OCCAP.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-729-6260reportedpublic record, Form ADV, Jul 2, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $56.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026