O'Connor Capital Advisory, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
O’Connor Capital Advisory provides discretionary portfolio management and tailored financial planning consultations primarily for high‑net‑worth individuals, families and institutional clients. The firm manages a focused client base and reports roughly $112 million in assets under management across its advisory relationships.
O’Connor Capital builds individualized investment programs using a mix of fundamental, technical and cyclical analysis and employs both long‑ and short‑term trading as dictated by client objectives. The firm treats cash and cash equivalents as an asset class, may maintain defensive cash positions, and includes those cash holdings in assets under management while conducting periodic portfolio reviews.
The firm operates as a single‑owner practice within a small, supported advisory team, a structure that is relatively uncommon among peers and that concentrates decision‑making at the firm level. It requires clients to custody assets with a specified institutional custodian and participates in that custodian’s institutional program (providing the firm with certain third‑party products and services that can create conflicts of interest), and it generally does not perform proxy‑voting on clients’ behalf.
Client services
Expertise
Fee options
$0 - $3,000,000: 1.00% $3,000,001 - $5,000,000: 0.75% $5,000,001+: 0.50%
Account minimum: $100,000
Main office
See office5635 N Scottsdale Rd, Ste 170
Scottsdale AZ 85250
Advisors at this office
1
Offices (2)
Most active in
Arizona · California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Sean O
Series 65
Santa Cruz, CA
O'Connor Capital Advisory, LLC
Sean O'Connor is a financial advisor at O'Connor Capital Advisory, LLC with one year of industry experience. He holds the Series 65 designation and has worked with the Stephen J. Wampler Foundation and Hermosa Surf, LLC. O'Connor Capital Advisory specializes in discretionary portfolio management and tailored financial planning for high-net-worth individuals, families, and institutional clients. The firm uses a combination of fundamental, technical, and cyclical analysis to build individualized investment programs, employing both long- and short-term trading strategies while managing roughly $112 million in assets under management.
James O
Series 63, Series 65, Series 66
Scottsdale, AZ
O'Connor Capital Advisory, LLC
James Oconnor II is a financial advisor with O'Connor Capital Advisory, LLC in Scottsdale, Arizona, holding Series 63, 65, and 66 licenses and 18 years of industry experience. He has served as owner and managing member of O'Connor Capital Advisory since 2010 and previously was involved with the Coronado Schools Foundation from 2013 to 2017. O'Connor Capital Advisory provides discretionary portfolio management and tailored financial planning primarily for high-net-worth individuals, families, and institutional clients. The firm uses a combination of fundamental, technical, and cyclical analysis to build customized investment programs and maintains a small, supported advisory team focused on concentrated decision-making.
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