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 Financial Group LLC
Latest filing Sep 14, 2026
First filing on the tape Apr 28, 2022 · 16 filings
SEC status approved since May 27, 2022
RAUM
$275M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$275M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$68.8M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$275M as of May 14, 2026
Mar 2, 2023$158M then
HNW client RAUM$123M as of May 14, 2026
Mar 2, 2023$99.3M then
State-registered IARs (5.B.3)3 as of May 14, 2026
Mar 2, 20233 then
Employees (5.A)6 as of May 14, 2026
Mar 2, 20235 then
Private funds: no history
RAUM +17% over the last fiscal year+20% a year over threeIARs 3 to 4offices 0 to 1
Practice profile
derived from the filing of Sep 14, 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
- $68.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $259,188derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $115M, 204 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$152M55%
- High-net-worth individuals$123M45%
- Corporations and businesses$498,0000.2%
- Individual clients
- 305reported
- HNW clients
- 50reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,062reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $115M for 204 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Timothy Joseph O'Connor | Quincy, Il | Sep 19, 2013 | 34 y | 3 |
| Jackson Timothy O'ConnorCertified Financial Planner | Quincy, Il | Apr 8, 2019 | 10 y | 0 |
| Daniel John Westergaard | Quincy, Il | Aug 25, 2021 | 10 y | 1 |
| Jordan Mark Richert | Quincy, Il | Sep 5, 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
- Aiden Patrick Mcdonnell to Cambridge Investment Research Advisors, Inc.Dec 18, 2019 · RIA to affiliated broker-dealer or bank
- Andrew Keith Cashman to Ipi Wealth Management, Inc.Feb 24, 2016 · Other
Joined, latest
- Daniel John Westergaard from First Trust Advisors LPAug 25, 2021 · Other
- Timothy Joseph O'Connor from LPL Financial LLCSep 19, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Timothy Jackson O'Connor · Ccocontrolsince 12/2022 · owns less than 5%
- Joseph Timothy Oconnor · Founder, Senior Advisorcontrolsince 08/2013 · owns less than 5%
- Joseph Timothy Oconnor · Trusteecontrolsince 09/1993 · owns F of Timothy J. O'Connor Revocable Trust
Entity owners
- Timothy J. O'Connor Revocable Trust · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Quincy, Il · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 9, 2026HNW share of RAUM moved from 68.0% to 45.0% between the annual amendments of 2025-04-07 and 2026-03-09peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4May 14, 2026 to Sep 5, 2026
- Employees · 6 to 7May 14, 2026 to Sep 5, 2026
- Financial planning clients · 251-500 to 251-500May 14, 2026 to Sep 5, 2026
- State-registered IARs · 3 to 4May 14, 2026 to Sep 5, 2026
- Other offices · 0 to 1May 14, 2026 to Sep 5, 2026
- Related adviser · false to unsetMay 14, 2026 to Sep 5, 2026
- Related bank · false to unsetMay 14, 2026 to Sep 5, 2026
- Related broker-dealer · false to unsetMay 14, 2026 to Sep 5, 2026
- Related insurance company · false to unsetMay 14, 2026 to Sep 5, 2026
- Succession · false to unsetMay 14, 2026 to Sep 5, 2026
- Accounts · 1,051 to 1,062Jun 20, 2025 to Mar 9, 2026
- HNW clients · 75 to 50Jun 20, 2025 to Mar 9, 2026
- Individual clients · 247 to 305Jun 20, 2025 to Mar 9, 2026
- Assets in custody · $106M to $115MJun 20, 2025 to Mar 9, 2026
- Employees · 5 to 6Jun 20, 2025 to Mar 9, 2026
- Financial planning clients · 101-250 to 251-500Jun 20, 2025 to Mar 9, 2026
- Discretionary RAUM · $234M to $272MJun 20, 2025 to Mar 9, 2026
- HNW RAUM · $159M to $123MJun 20, 2025 to Mar 9, 2026
- Individual RAUM · $75.4M to $152MJun 20, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $1.2M to $3.5MJun 20, 2025 to Mar 9, 2026
- RAUM · $235M to $275MJun 20, 2025 to Mar 9, 2026
- Financial planning clients · 101-250 to 101-250May 28, 2025 to Jun 20, 2025
- Accounts · 847 to 1,051Jun 25, 2024 to Apr 7, 2025
- Charity clients · unset to 0.0Jun 25, 2024 to Apr 7, 2025
- Corporate clients · unset to 0.0Jun 25, 2024 to Apr 7, 2025
- HNW clients · 72 to 75Jun 25, 2024 to Apr 7, 2025
- Individual clients · 340 to 247Jun 25, 2024 to Apr 7, 2025
- Pension plan clients · unset to 0.0Jun 25, 2024 to Apr 7, 2025
- Pooled vehicle clients · unset to 0.0Jun 25, 2024 to Apr 7, 2025
- Assets in custody · $91.7M to $106MJun 25, 2024 to Apr 7, 2025
- Employees · 6 to 5Jun 25, 2024 to Apr 7, 2025
- Financial planning clients · 251-500 to 101-250Jun 25, 2024 to Apr 7, 2025
- Discretionary RAUM · $201M to $234MJun 25, 2024 to Apr 7, 2025
- HNW RAUM · $139M to $159MJun 25, 2024 to Apr 7, 2025
- Individual RAUM · $63.0M to $75.4MJun 25, 2024 to Apr 7, 2025
- Non-discretionary RAUM · $1.6M to $1.2MJun 25, 2024 to Apr 7, 2025
- Pension RAUM · unset to 0.0Jun 25, 2024 to Apr 7, 2025
- Pooled vehicle RAUM · unset to 0.0Jun 25, 2024 to Apr 7, 2025
- RAUM · $202M to $235MJun 25, 2024 to Apr 7, 2025
- Employees · 5 to 6Mar 22, 2024 to Jun 11, 2024
Signals
2 dated events
- Jackson O'Connor (Cco) appeared on Schedule A of O'Connor Financial Group LlcMar 2, 2023 · Control person joined · fact
- O'Connor Financial Group Llc filed its initial SEC registration (Form ADV)Apr 28, 2022 · 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
- Firm profile
- linkedin.com/company/19113787reportedpublic record, Form ADV, Sep 18, 2026
- Website
- oconnorfinancial.groupreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (217) 223-0113reportedpublic record, Form ADV, Sep 14, 2026
- Contact form
- oconnorfinancial.group/contactreportedpublished by the firm, firm site, Sep 16, 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
- $68.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026