O'BRIEN CAPITAL MANAGEMENT, INC.
Adviser information for O'BRIEN CAPITAL MANAGEMENT, INC. last updated from Form ADV on March 22nd, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 94 | $32.9M |
| Non-Discretionary | 0 | $0 |
| Total | 94 | $32.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 30 | $12.3M |
| HNW Individuals | 13 | $20.5M |
| 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 | 0 | $0 |
| 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 | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-120981 |
|---|---|
| SEC ERA File Number | 801-120981 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136100 |
| Legal Entity Identifier | None |
Principal Office
48 BURD STREETSTE. 209
NYACK
NY
United States
Monday - Friday, 9 AM TO 5PM
Tel: 845-358-4930, Fax: None
Websites
Chief Compliance Officer
JOHN O'BRIEN
PRESIDENT & CHIEF COMPLIANCE OFFICER
48 BURD STREET
STE. 209
NYACK
NY
United States
Tel:
845-358-4930
J***@***********M
(Full email address available in API data)
Regulatory Contact
RITA RHODES
CONSULTANT
2202 PRIMROSE TRL
ROCKFORD
IL
United States
Tel:
815-900-2202
R***@*******************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, JOHN, MATHEW | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 06/2005 | > 75% |