# Opes Capital Group, LLC

> Opes Capital Group, LLC is a state-registered investment advisory firm in Los Angeles, CA, registered since 2013, reporting under $25 million in regulatory assets under management in its Form ADV filing dated June 8, 2026.

- CRD: 166106
- Filed as: OPES CAPITAL GROUP, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Los Angeles, CA
- Filing period: October 2026
- Form ADV filing dated: June 8, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/166106
- AdvisorCensus page: https://advisorcensus.com/firm/opes-capital-group-llc-los-angeles-ca-166106

## Quick answers

**How is Opes Capital Group, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Opes Capital Group, LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is Opes Capital Group, LLC located?**
Opes Capital Group, LLC's principal office is in Los Angeles, CA, according to its Form ADV.

**Is Opes Capital Group, LLC registered with the SEC or a state?**
Opes Capital Group, LLC is a state-registered investment advisory firm, registered since 2013. Status as filed: APPROVED. CRD 166106.

**How much does Opes Capital Group, LLC manage?**
Opes Capital Group, LLC reports $5,000,000 in regulatory assets under management in its Form ADV filing dated June 8, 2026 (0% discretionary).

**What types of clients does Opes Capital Group, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (4); high net worth individuals (3).

**Does Opes Capital Group, LLC report any disciplinary disclosures?**
Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.E(1) (self-regulatory organization's finding of a false statement or omission), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/166106

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $5,000,000
- Discretionary: $0
- Non-discretionary: $5,000,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 4 | $500,000 |
| High net worth individuals | 3 | $4,500,000 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | Not reported |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 0 | Not reported |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2013 (13 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(1): Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/166106

### Websites listed on Form ADV (Item 1.I)
- opescg.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Opes Capital Group, LLC (CRD 166106): Form ADV filing data as of October 2026.