O
O'Brien and Associates, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$48,951,701
Clients
83
20% high-net worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
83
Very HighAverage account size
$589,780
About
O’Brien and Associates provides personalized, fee-only investment management to individuals, trusts, and charitable organizations, serving both high‑net‑worth and non‑high‑net‑worth clients. The firm delivers portfolio management and ongoing supervision tailored to each client’s financial goals, tax situation, and investment preferences.
The adviser primarily recommends mutual funds and ETFs and uses a combination of fundamental and technical analysis, supplemented by historical quantitative data and a computerized portfolio model to inform asset selection. Services are delivered on a non‑discretionary basis, meaning clients are asked to approve trades, and accounts are reviewed at least quarterly with rebalancing when appropriate.
Notably, the firm manages roughly $49.4 million under non‑discretionary authority, a practice that is uncommon among comparable supported advisers and results in clients retaining trade approval for most activity. The firm discloses a custodial relationship that provides institutional services and operational support, does not accept referral fees, typically does not vote proxies on client securities, and maintains written policies for trade errors, privacy, and client reporting.
Client services
Portfolio management
Expertise
Wealth management
Fee options
$0 - $500,000: 1.25% $500,001 - $1,000,000: 1.00% $1,000,001 - $2,000,000: 0.80% $2,000,001+: 0.60%
Fee-only: Annual fees based on tiered percentage of AUM: 1.25% up to $500,000; 1.00% $500,001-$1,000,000; 0.80% $1,000,001-$2,000,000; 0.60% over $2,000,000. Fees billed quarterly in arrears.
Most active in
O'Brien and Associates, Inc. has reported serving >5 clients in these states in the last 12 months.
Iowa
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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.
Forms ADV
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