# Optima Asset Management Inc

> 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.

- CRD: 106095
- Filed as: OPTIMA ASSET MANAGEMENT INC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Dallas, TX
- Filing period: October 2026
- Form ADV filing dated: February 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/106095
- AdvisorCensus page: https://advisorcensus.com/firm/optima-asset-management-inc-dallas-tx-106095

## Quick answers

**How is Optima Asset Management Inc compensated?**
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).

**What does Optima Asset Management Inc's brochure say about its fees?**
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.

**Where is Optima Asset Management Inc located?**
Optima Asset Management Inc's principal office is in Dallas, TX, according to its Form ADV.

**Is Optima Asset Management Inc registered with the SEC or a state?**
Optima Asset Management Inc is an SEC-registered investment advisory firm, registered since 1996. Status as filed: Approved. CRD 106095.

**How much does Optima Asset Management Inc manage?**
Optima Asset Management Inc reports $657,409,445 in regulatory assets under management in its Form ADV filing dated February 27, 2026 (0% discretionary).

**How have Optima Asset Management Inc's assets and staff changed since 2021?**
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.

**What types of clients does Optima Asset Management Inc serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (97); individuals (other than high net worth individuals) (14).

**Which custodians does Optima Asset Management Inc use?**
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.

**Does Optima Asset Management Inc report any disciplinary disclosures?**
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

**Does Optima Asset Management Inc state an account minimum?**
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."

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated February 27, 2026)

- 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

> 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)

- Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)

> Optima has a minimum aggregate account size of $1,000,000 but may waive this requirement at its sole discretion.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $657,409,445
- Discretionary: $0
- Non-discretionary: $657,409,445

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 14 | $4,294,915 |
| High net worth individuals | 97 | $653,106,849 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $71 |
| Corporations or other businesses not listed above | Fewer than 5 | $7,610 |

### Advisory services (Item 5.G)
- 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)

### Firm details
- Registered since: 1996 (30 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- optimaassetmgt.com
- Facebook @OPTIMA-ASSET-MANAGEMENT-INC-318249375320496
- LinkedIn @optima-asset-management-inc
- X @OPTIMAASSETMGT
- YouTube @UCX3faWbwqKVLUJ6sQV7qKWw

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $490,125,863 | 2 | March 9, 2021 |
| October 2022 | $669,553,144 | 2 | March 10, 2022 |
| October 2023 | $549,617,713 | 2 | March 2, 2023 |
| October 2024 | $599,035,873 | 2 | March 9, 2024 |
| October 2025 | $607,144,932 | 2 | February 19, 2025 |
| October 2026 | $657,409,445 | 2 | February 27, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Optima Asset Management Inc (CRD 106095): Form ADV filing data as of October 2026.