{
  "crd_number": 306036,
  "slug": "optima-capital-management-tempe-az-306036",
  "primary_business_name": "OPTIMA CAPITAL MANAGEMENT",
  "legal_name": "OPTIMA CAPITAL MANAGEMENT LLC",
  "dbas": [],
  "city": "Tempe",
  "state": "AZ",
  "country": "United States",
  "cbsa_code": "38060",
  "metro": {
    "cbsa_code": "38060",
    "common_name": "Phoenix",
    "msa_name": "Phoenix-Mesa-Chandler, AZ",
    "path": "/advisors/az/phoenix"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2025-02-18",
  "years_registered": 1,
  "period": "2026-10-01",
  "filing_date": "2026-04-22",
  "carried_forward": false,
  "raum_total": 150319761.0,
  "raum_discretionary": 150319761.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 4,
  "advisory_employees": 4,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 59886813.0,
      "count": 179
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 20081975.0,
      "count": null,
      "fewer_than_5": true
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 70350973.0,
      "count": 36
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "FL",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MN",
    "MO",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NY",
    "OH",
    "OK",
    "TX",
    "UT",
    "WA",
    "WI"
  ],
  "websites": [
    "https://facebook.com/optimacapitalmgt",
    "https://instagram.com/optima_capital_managment",
    "https://linkedin.com/company/optima-capital-management",
    "https://optimacapitalmgt.com",
    "https://x.com/optima_capital_"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/306036",
  "disclosure_items": [
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    }
  ],
  "city_as_filed": "TEMPE",
  "url": "https://advisorcensus.com/firm/optima-capital-management-tempe-az-306036",
  "display_name": "Optima Capital Management",
  "summary": "Optima Capital Management is an SEC-registered investment advisory firm in Tempe, AZ, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 22, 2026.",
  "citation": "AdvisorCensus. Optima Capital Management (CRD 306036): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "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",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Optima Capital Management compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Optima Capital Management reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Optima Capital Management located?",
      "a": "Optima Capital Management's principal office is in Tempe, AZ, according to its Form ADV; the May 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Optima Capital Management registered with the SEC or a state?",
      "a": "Optima Capital Management is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 306036."
    },
    {
      "q": "How much does Optima Capital Management manage?",
      "a": "Optima Capital Management reports $150,319,761 in regulatory assets under management in its Form ADV filing dated April 22, 2026 (100% discretionary)."
    },
    {
      "q": "How have Optima Capital Management's assets and staff changed since 2025?",
      "a": "In the Form ADV data for Optima Capital Management: Regulatory assets under management: $116,525,671 in the October 2025 data and $150,319,761 in the October 2026 data, up 29%. Total employees: 4 in October 2025 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Optima Capital Management serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (179); high net worth individuals (36)."
    },
    {
      "q": "Which custodians does Optima Capital Management use?",
      "a": "Optima Capital Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and The Standard as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Optima Capital Management report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, 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 SEC record: https://adviserinfo.sec.gov/firm/summary/306036"
    },
    {
      "q": "What changed in Optima Capital Management's recent Form ADV filings?",
      "a": "In the February 2026 filing data: Regulatory assets under management went from $116,525,671 to $150,284,801 (+29%). Registered or notice-filed in NY."
    }
  ],
  "filing_history": [
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 116525671.0,
      "total_employees": 4,
      "filing_date": "2025-07-16"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 150319761.0,
      "total_employees": 4,
      "filing_date": "2026-04-22"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Regulatory assets under management went from $116,525,671 to $150,284,801 (+29%).",
        "Registered or notice-filed in NY."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Registered or notice-filed in OK."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "The Standard",
      "name_as_filed": "THE STANDARD",
      "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-capital-management-tempe-az-306036.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 179,
      "fewer_than_5": false,
      "raum": 59886813.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 36,
      "fewer_than_5": false,
      "raum": 70350973.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "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": 20081975.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "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/306036",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}