JOHN G. O'CONNELL
O'CONNELL, JOHN GLENNON Legal Name
Adviser information for JOHN G. O'CONNELL last updated from Form ADV on April 14th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Sole Proprietorship |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 50 | $28.1M |
| Non-Discretionary | 0 | $0 |
| Total | 50 | $28.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 31 | $5.2M |
| HNW Individuals | 8 | $22.9M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-126576 |
|---|---|
| SEC ERA File Number | 801-126576 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 323103 |
| Legal Entity Identifier | None |
Principal Office
13592 JEMEL WAYIRVINE
CA
United States
Monday - Friday, 9AM - 5PM
Tel: 212-724-2506, Fax: None
Chief Compliance Officer
JOHN G. O'CONNELL
PRESIDENT
13592 JEMEL WAY
IRVINE
CA
United States
Tel:
212-724-2506
O*******@*******T
(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'CONNELL, JOHN, GLENNON | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 08/2022 | > 75% |