O'Brien Investment Management, LLC

O’Brien Investment Management is an SEC‑registered advisory firm that provides discretionary investment management to individuals (including high‑net‑worth clients), trusts and estates, charitable organizations, and businesses. The firm advises on publicly traded equities, fixed‑income securities, mutual funds and ETFs, and also offers management of held‑away retirement and defined‑contribution participant accounts.

The firm’s investment process centers on purchasing, holding and periodic rebalancing—typically intending to hold positions for more than a year unless changes in outlook, tax considerations, or rebalancing needs dictate otherwise—and client accounts are reviewed at least quarterly with annual reviews available. O’Brien operates with written discretionary authority and uses a third‑party order management platform (Pontera) to view and manage connected held‑away accounts on behalf of clients.

Compared with many small advisers, O’Brien manages over $200 million for roughly 155 clients, with no stated account minimums, which results in a relatively high AUM per adviser for its two‑adviser team. Distinctive operational features include the use of the Pontera platform for indirect management of held‑away assets, participation in its custodian’s institutional program that provides research and practice‑management benefits, a paid referral arrangement with SmartAsset, and a policy of not voting client proxies.