# Optima Capital Management

> 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.

- CRD: 306036
- Filed as: OPTIMA CAPITAL MANAGEMENT
- Legal name: Optima Capital Management LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Tempe, AZ
- Filing period: October 2026
- Form ADV filing dated: April 22, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/306036
- AdvisorCensus page: https://advisorcensus.com/firm/optima-capital-management-tempe-az-306036

## Quick answers

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

**Where is Optima Capital Management located?**
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).

**Is Optima Capital Management registered with the SEC or a state?**
Optima Capital Management is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 306036.

**How much does Optima Capital Management manage?**
Optima Capital Management reports $150,319,761 in regulatory assets under management in its Form ADV filing dated April 22, 2026 (100% discretionary).

**How have Optima Capital Management's assets and staff changed since 2025?**
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.

**What types of clients does Optima Capital Management serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (179); high net worth individuals (36).

**Which custodians does Optima Capital Management use?**
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.

**Does Optima Capital Management report any disciplinary disclosures?**
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

**What changed in Optima Capital Management's recent Form ADV filings?**
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.

## From the Form ADV filing

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

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

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: $150,319,761
- Discretionary: $150,319,761
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 179 | $59,886,813 |
| High net worth individuals | 36 | $70,350,973 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $20,081,975 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### 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
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops

### Firm details
- Registered since: 2025 (1 year)
- Employees: 4 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, CO, FL, IL, IN, KS, KY, LA, MN, MO, NC, NE, NH, NJ, NY, OH, OK, TX, UT, WA, WI
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(5): 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?

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 SEC record: https://adviserinfo.sec.gov/firm/summary/306036

### Other offices (Schedule D, Section 1.F), as of the May 2026 filing
- Scottsdale, AZ

### Websites listed on Form ADV (Item 1.I)
- optimacapitalmgt.com
- Facebook @optimacapitalmgt
- Instagram @optima_capital_managment
- LinkedIn @optima-capital-management
- X @optima_capital_

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $116,525,671 | 4 | July 16, 2025 |
| October 2026 | $150,319,761 | 4 | April 22, 2026 |

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.

## Changes in the filing (last 12 months)

### February 2026
- Regulatory assets under management went from $116,525,671 to $150,284,801 (+29%).
- Registered or notice-filed in NY.

### December 2025
- Registered or notice-filed in OK.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Optima Capital Management (CRD 306036): Form ADV filing data as of October 2026.