O'BRIEN INVESTMENT MANAGEMENT, LLC
Adviser information for O'BRIEN INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 250 | $192.7M |
| Non-Discretionary | 0 | $0 |
| Total | 250 | $192.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 56 | $8.3M |
| HNW Individuals | 72 | $181.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $3.4M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-118289 |
|---|---|
| SEC ERA File Number | 801-118289 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 284057 |
| Legal Entity Identifier | None |
Principal Office
24594 HAWTHORNE BLVD.TORRANCE
CA
United States
Monday - Friday, 8:00 AM - 4:00 PM
Tel: 310-363-2360, Fax: None
Websites
Chief Compliance Officer
MICHAEL O'BRIEN
PRESIDENT
24594 HAWTHORNE BLVD.
TORRANCE
CA
United States
Tel:
310-363-2360
M******@***********M
(Full email address available in API data)
Regulatory Contact
LISA ROTH
CONSULTANT
630 FIRST AVENUE
SAN DIEGO
CA
United States
Tel:
619-283-3500
L****@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| O'BRIEN, MICHAEL, DENNIS | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER | 05/2016 | > 75% |
| O'Brien, John, Shiels | Individual | – | PARTNER | 09/2020 | 25-50% |