{
  "crd_number": 106095,
  "slug": "optima-asset-management-inc-dallas-tx-106095",
  "primary_business_name": "OPTIMA ASSET MANAGEMENT INC",
  "legal_name": "OPTIMA ASSET MANAGEMENT INC",
  "dbas": [],
  "city": "Dallas",
  "state": "TX",
  "country": "United States",
  "cbsa_code": "19100",
  "metro": {
    "cbsa_code": "19100",
    "common_name": "Dallas",
    "msa_name": "Dallas-Fort Worth-Arlington, TX",
    "path": "/advisors/tx/dallas"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1996-07-12",
  "years_registered": 30,
  "period": "2026-10-01",
  "filing_date": "2026-02-27",
  "carried_forward": false,
  "raum_total": 657409445.0,
  "raum_discretionary": 0.0,
  "raum_non_discretionary": 657409445.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 2,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "individuals": {
      "raum": 4294915.0,
      "count": 14
    },
    "pension_profit_sharing": {
      "raum": 71.0,
      "count": null,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 653106849.0,
      "count": 97
    },
    "corporations_other_businesses": {
      "raum": 7610.0,
      "count": null,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "TX"
  ],
  "websites": [
    "https://facebook.com/OPTIMA-ASSET-MANAGEMENT-INC-318249375320496",
    "https://linkedin.com/company/optima-asset-management-inc",
    "https://optimaassetmgt.com",
    "https://x.com/OPTIMAASSETMGT",
    "https://youtube.com/channel/UCX3faWbwqKVLUJ6sQV7qKWw"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106095",
  "city_as_filed": "DALLAS",
  "url": "https://advisorcensus.com/firm/optima-asset-management-inc-dallas-tx-106095",
  "display_name": "Optima Asset Management Inc",
  "summary": "Optima Asset Management Inc is an SEC-registered investment advisory firm in Dallas, TX, registered since 1996, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated February 27, 2026.",
  "citation": "AdvisorCensus. Optima Asset Management Inc (CRD 106095): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Optima Asset Management Inc compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Optima Asset Management Inc reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "What does Optima Asset Management Inc's brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated February 27, 2026 states: Up to $3,000,000: 0.75% a year; $3,000,000 to $10,000,000: 0.65% a year; Above $10,000,000: 0.5% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Optima Asset Management Inc located?",
      "a": "Optima Asset Management Inc's principal office is in Dallas, TX, according to its Form ADV."
    },
    {
      "q": "Is Optima Asset Management Inc registered with the SEC or a state?",
      "a": "Optima Asset Management Inc is an SEC-registered investment advisory firm, registered since 1996. Status as filed: Approved. CRD 106095."
    },
    {
      "q": "How much does Optima Asset Management Inc manage?",
      "a": "Optima Asset Management Inc reports $657,409,445 in regulatory assets under management in its Form ADV filing dated February 27, 2026 (0% discretionary)."
    },
    {
      "q": "How have Optima Asset Management Inc's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Optima Asset Management Inc: Regulatory assets under management: $490,125,863 in the October 2021 data and $657,409,445 in the October 2026 data, up 34%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Optima Asset Management Inc serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (97); individuals (other than high net worth individuals) (14)."
    },
    {
      "q": "Which custodians does Optima Asset Management Inc use?",
      "a": "Optima Asset Management Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Optima Asset Management Inc report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/106095"
    },
    {
      "q": "Does Optima Asset Management Inc state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated February 27, 2026 says: \"Optima has a minimum aggregate account size of $1,000,000 but may waive this requirement at its sole discretion.\""
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 490125863.0,
      "total_employees": 2,
      "filing_date": "2021-03-09"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 669553144.0,
      "total_employees": 2,
      "filing_date": "2022-03-10"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 549617713.0,
      "total_employees": 2,
      "filing_date": "2023-03-02"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 599035873.0,
      "total_employees": 2,
      "filing_date": "2024-03-09"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 607144932.0,
      "total_employees": 2,
      "filing_date": "2025-02-19"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 657409445.0,
      "total_employees": 2,
      "filing_date": "2026-02-27"
    }
  ],
  "recent_changes": [],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated February 27, 2026",
    "tiers": [
      {
        "band": "Up to $3,000,000",
        "rate": "0.75%"
      },
      {
        "band": "$3,000,000 to $10,000,000",
        "rate": "0.65%"
      },
      {
        "band": "Above $10,000,000",
        "rate": "0.5%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$1,000,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "Up to $3,000,000: 0.75% a year",
          "$3,000,000 to $10,000,000: 0.65% a year",
          "Above $10,000,000: 0.5% a year"
        ],
        "quotes": [
          "Portfolio Size Fee Rate (Annualized) Under $3 million .75% (75 basis points) $3 million - $10 million .65% (65 basis points) Over $10 million .50% (50 basis points)"
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "Optima has a minimum aggregate account size of $1,000,000 but may waive this requirement at its sole discretion."
        ]
      }
    ],
    "quotes": [
      "Portfolio Size Fee Rate (Annualized) Under $3 million .75% (75 basis points) $3 million - $10 million .65% (65 basis points) Over $10 million .50% (50 basis points)",
      "Optima has a minimum aggregate account size of $1,000,000 but may waive this requirement at its sole discretion."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/optima-asset-management-inc-dallas-tx-106095.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 14,
      "fewer_than_5": false,
      "raum": 4294915.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 97,
      "fewer_than_5": false,
      "raum": 653106849.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 71.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": null,
      "fewer_than_5": true,
      "raum": 7610.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106095",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}