John G. O'Connell

The firm provides individualized asset management and portfolio management to individuals, high‑net‑worth clients, trusts, estates and charitable organizations. It manages a relatively small client roster with roughly $24 million in regulatory assets under management and currently keeps its client book closed to unrelated accounts.

The firm’s investment process draws on qualitative and fundamental analysis complemented by sector and cyclical review to construct diversified portfolios across individual stocks, bonds, ETFs, options, mutual funds and select private securities. It employs a range of asset‑allocation approaches (strategic, dynamic, tactical and core‑satellite), manages cash conservatively in money‑market and short‑term government instruments, and allows clients to place reasonable restrictions on holdings.

Distinctive operational features include a sole‑proprietor structure with a high average account size, a billing practice that specifies fees are billed on cash, and formal personal‑trading controls including pre‑clearance and quarterly reporting. The firm recommends a single institutional custodian and discloses receipt of custodial support services, does not sell commission products or participate in wrap programs, and offers tiered discretion options (including limited timing discretion to manage cash sweeps and bond sourcing).