# Opto Investment Management, LLC

> Opto Investment Management, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2022, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated July 31, 2026.

- CRD: 316847
- Filed as: OPTO INVESTMENT MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: July 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/316847
- AdvisorCensus page: https://advisorcensus.com/firm/opto-investment-management-llc-new-york-ny-316847

## Quick answers

**How is Opto Investment Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Opto Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees.

**How much does Opto Investment Management, LLC charge?**
Its Form ADV Part 2A brochure dated July 31, 2026 states: Asset-based fee: up to 1.3% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Opto Investment Management, LLC located?**
Opto Investment Management, LLC's principal office is in New York, NY, according to its Form ADV.

**Is Opto Investment Management, LLC registered with the SEC or a state?**
Opto Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 316847.

**How much does Opto Investment Management, LLC manage?**
Opto Investment Management, LLC reports $928,573,008 in regulatory assets under management in its Form ADV filing dated July 31, 2026 (79% discretionary).

**How have Opto Investment Management, LLC's assets and staff changed since 2022?**
In the Form ADV data for Opto Investment Management, LLC: Regulatory assets under management: $77,001,000 in the October 2022 data and $928,573,008 in the October 2026 data, up 1106%. Total employees: 6 in October 2022 and 14 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Opto Investment Management, LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (34).

**Does Opto Investment Management, LLC 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/316847

**What changed in Opto Investment Management, LLC's recent Form ADV filings?**
In the August 2026 filing data: Regulatory assets under management went from $565,386,370 to $928,573,008 (+64%).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated July 31, 2026)

- Asset-based fee: up to 1.3% of assets a year (the maximum the brochure states)

> The management fee rate chargeable to an Opto Fund is set forth in the relevant PPM and currently ranges up to 1.3% per annum, a portion of which may be shared with the relevant Platform Participant .

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

### Regulatory assets under management (Item 5.F)
- Total: $928,573,008
- Discretionary: $733,587,014
- Non-discretionary: $194,985,994

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 34 | $928,573,008 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2022 (4 years)
- Employees: 14 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [optoinvest.com](https://optoinvest.com)
- LinkedIn @optoinvest
- X @optoinvest

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $77,001,000 | 6 | August 16, 2022 |
| October 2023 | $76,302,946 | 11 | March 29, 2023 |
| October 2024 | $179,061,267 | 12 | June 10, 2024 |
| October 2025 | $233,590,615 | 15 | July 22, 2025 |
| October 2026 | $928,573,008 | 14 | July 31, 2026 |

Regulatory assets under management: $77,001,000 in the October 2022 data and $928,573,008 in the October 2026 data, up 1106%.
Total employees: 6 in October 2022 and 14 in October 2026.

## Changes in the filing (last 12 months)

### August 2026
- Regulatory assets under management went from $565,386,370 to $928,573,008 (+64%).

### April 2026
- Regulatory assets under management went from $370,980,745 to $565,386,370 (+52%).

### December 2025
- Employees performing advisory functions went from 5 to 6.
- Regulatory assets under management went from $233,590,615 to $370,980,745 (+59%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Opto Investment Management, LLC (CRD 316847): Form ADV filing data as of October 2026.