Hedge Fund Database

OPES WEALTH MANAGEMENT, LLC

Adviser information for OPES WEALTH MANAGEMENT, LLC last updated from Form ADV on March 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location California, United States

Employees

Total Number of Employees 9
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 4
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 5

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 364 $589.9M
Non-Discretionary 0 $0
Total 364 $589.9M

Clients

Type Number RAUM
Individuals 186 $80.0M
HNW Individuals 177 $506.5M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses <5 $3.5M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-114436
SEC ERA File Number 801-114436
SEC CIK Numbers 1766918
SEC CRD Numbers 299704
Legal Entity Identifier None

Principal Office

535 MIDDLEFIELD ROAD
SUITE 160
MENLO PARK
CA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 408-831-5800, Fax: None

Websites

www.linkedin.com/company/opes-wealth-management/ www.facebook.com/opeswealthservices www.opeswealth.com

Chief Compliance Officer

UNESA MIGUEL
HEAD OF CLIENT SERVICES
535 MIDDLEFIELD ROAD
SUITE 160
MENLO PARK
CA
United States
Tel: 408-831-5807
(Full email address available in API data)

Regulatory Contact

MARK DUVALL
CO-PRESIDENT
535 MIDDLEFIELD ROAD
SUITE 160
MENLO PARK
CA
United States
Tel: 4088315808
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
DUVALL, MARK, TOWNSEND Individual – CO-PRESIDENT 11/2018 25-50%
WHALEN, ERIN, MICHAEL Individual – CO-PRESIDENT 11/2018 25-50%
MIGUEL, UNESA Individual – CHIEF COMPLIANCE OFFICER 03/2019 < 5%
SOUTHERLAND, TRACIE, LYNNE Individual – WEALTH ADVISOR 01/2022 5-10%
ODETTE, LOUIS, LAWRENCE Individual – CHIEF INVESTMENT OFFICER 01/2024 5-10%

No. Employees, Historic

105020192020202120222023202420258 on 9/12/20198 on 3/26/20208 on 6/19/20208 on 7/27/20207 on 3/22/20217 on 4/26/20217 on 1/14/20227 on 3/14/20227 on 4/15/20227 on 1/24/20238 on 3/29/20238 on 5/4/20238 on 9/1/20239 on 3/14/2024

RAUM, Historic

600M300M02019202020212022202320242025387345822 on 9/12/2019411561244 on 3/26/2020411561244 on 6/19/2020411561244 on 7/27/2020426508843 on 3/22/2021426508843 on 4/26/2021426508843 on 1/14/2022508656733 on 3/14/2022508656733 on 4/15/2022508656733 on 1/24/2023473581153 on 3/29/2023473581153 on 5/4/2023473581153 on 9/1/2023589916182 on 3/14/2024

No. Clients, Historic

40020002019202020212022202320242025286 on 9/12/2019285 on 3/26/2020285 on 6/19/2020285 on 7/27/2020280 on 3/22/2021280 on 4/26/2021280 on 1/14/2022298 on 3/14/2022298 on 4/15/2022298 on 1/24/2023302 on 3/29/2023302 on 5/4/2023302 on 9/1/2023363 on 3/14/2024

Holdings

From latest 13F, filed August 5th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 283K 3K –
ADOBE INC COM 593K 1K –
ADVANCED MICRO DEVICES INC COM 443K 3K –
AKAMAI TECHNOLOGIES INC COM 554K 6K –
ALBEMARLE CORP COM 639K 7K –
ALPHABET INC CAP STK CL A 1M 8K –
ALPHABET INC CAP STK CL C 2M 12K –
AMAZON COM INC COM 980K 5K –
AMERICAN CENTY ETF TR AVANTIS RESPONSI 375K 7K –
AMERICAN CENTY ETF TR AVANTIS RESPONSI 1M 21K –
APPLE INC COM 133M 630K –
APPLIED MATLS INC COM 621K 3K –
BRISTOL-MYERS SQUIBB CO COM 853K 21K –
CATERPILLAR INC COM 2M 5K –
CHEVRON CORP NEW COM 252K 2K –
CISCO SYS INC COM 382K 8K –
CLOROX CO DEL COM 365K 3K –
CROWDSTRIKE HLDGS INC CL A 222K 580 –
DANA INC COM 496K 41K –
DIMENSIONAL ETF TRUST EMERGING MKTS VA 9M 326K –
DIMENSIONAL ETF TRUST US SUSTAINABILTY 575K 16K –
DISNEY WALT CO COM 236K 2K –
EBAY INC. COM 670K 12K –
ELI LILLY & CO COM 213K 235 –
FIDELITY COVINGTON TRUST MSCI RL EST ETF 3M 104K –
FIDELITY MERRIMACK STR TR TOTAL BD ETF 8M 182K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 2M 49K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 726K 16K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 301K 7K –
FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 8M 192K –
FRANKLIN TEMPLETON ETF TR FTSE JAPAN ETF 4M 156K –
FRANKLIN TEMPLETON ETF TR INTL AGGREGTE BD 625K 31K –
GENERAL DYNAMICS CORP COM 205K 705 –
GILEAD SCIENCES INC COM 11M 159K –
HOME DEPOT INC COM 203K 591 –
INDEXIQ ACTIVE ETF TR IQ MACKAY INTRME 733K 30K –
INNOVATOR ETFS TRUST US EQTY BUFR JAN 3M 58K –
INTEL CORP COM 410K 13K –
INVESCO EXCH TRADED FD TR II FTSE RAFI SML 7M 204K –
INVESCO EXCH TRADED FD TR II S&P INTL QULTY 4M 137K –
INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 7M 101K –
INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 10M 164K –
INVESCO QQQ TR UNIT SER 1 362K 755 –
ISHARES INC ESG AWR MSCI EM 1M 31K –
ISHARES TR 0-3 MNTH TREASRY 413K 4K –
ISHARES TR CALIF MUN BD ETF 19M 329K –
ISHARES TR CORE MSCI INTL 230K 4K –
ISHARES TR CORE S&P MCP ETF 5M 84K –
ISHARES TR CORE S&P TTL STK 346K 3K –
ISHARES TR CORE S&P500 ETF 222K 406 –
ISHARES TR CORE TOTAL USD 15M 329K –
ISHARES TR CORE US AGGBD ET 8M 81K –
ISHARES TR EAFE VALUE ETF 289K 5K –
ISHARES TR ESG AWARE MSCI 537K 14K –
ISHARES TR ESG AWR MSCI USA 2M 19K –
ISHARES TR ESG AWR US AGRGT 304K 7K –
ISHARES TR ESG EAFE ETF 1M 21K –
ISHARES TR ESG MSCI USA ETF 2M 38K –
ISHARES TR ESG SCRD S&P MID 731K 18K –
ISHARES TR GENOMICS IMMUN 237K 10K –
ISHARES TR GL CLEAN ENE ETF 237K 18K –
ISHARES TR MRGSTR SM CP GR 5M 104K –
ISHARES TR MSCI INTL MOMENT 5M 119K –
ISHARES TR MSCI INTL QUALTY 2M 54K –
ISHARES TR MSCI USA MIN VOL 226K 3K –
ISHARES TR MSCI USA MMENTM 8M 42K –
ISHARES TR RUS 1000 GRW ETF 6M 17K –
ISHARES TR RUS 1000 VAL ETF 3M 16K –
ISHARES TR S&P MC 400VL ETF 2M 16K –
ISHARES TR U.S. MED DVC ETF 457K 8K –
J P MORGAN EXCHANGE TRADED F INCOME ETF 406K 9K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 320K 6K –
JOHNSON & JOHNSON COM 1M 8K –
KRANESHARES TRUST QUADRTC INT RT 3M 144K –
META PLATFORMS INC CL A 581K 1K –
MICROSOFT CORP COM 4M 9K –
NETFLIX INC COM 374K 554 –
NEXTERA ENERGY INC COM 312K 4K –
NIKE INC CL B 305K 4K –
NOVO-NORDISK A S ADR 266K 2K –
NUSHARES ETF TR NUVEEN ESG LRGVL 3M 68K –
NUSHARES ETF TR NUVEEN ESG MIDVL 999K 30K –
NVIDIA CORPORATION COM 4M 30K –
NXP SEMICONDUCTORS N V COM 576K 2K –
OKTA INC CL A 290K 3K –
ON24 INC COM 406K 68K –
ORACLE CORP COM 287K 2K –
PAYPAL HLDGS INC COM 350K 6K –
PEPSICO INC COM 453K 3K –
PHILIP MORRIS INTL INC COM 306K 3K –
QUALCOMM INC COM 565K 3K –
ROKU INC COM CL A 330K 6K –
RTX CORPORATION COM 295K 3K –
SALESFORCE INC COM 326K 1K –
SCHWAB CHARLES FAMILY FD AMT TAX FREE MNY 1M 1M –
SCHWAB STRATEGIC TR FUNDAMENTAL INTL 22M 626K –
SCHWAB STRATEGIC TR FUNDAMENTAL INTL 6M 172K –
SCHWAB STRATEGIC TR FUNDAMENTAL US B 11M 169K –
SCHWAB STRATEGIC TR FUNDAMENTAL US L 11M 164K –
SCHWAB STRATEGIC TR FUNDAMENTAL US S 6M 113K –
SCHWAB STRATEGIC TR US AGGREGATE B 282K 6K –
SCHWAB STRATEGIC TR US BRD MKT ETF 11M 173K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 2M 21K –
SCHWAB STRATEGIC TR US LCAP GR ETF 9M 90K –
SCHWAB STRATEGIC TR US LCAP VA ETF 8M 103K –
SELECTQUOTE INC COM 164K 60K –
SERVICENOW INC COM 385K 490 –
SONY GROUP CORP SPONSORED ADR 399K 5K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 6M 161K –
SPDR INDEX SHS FDS PORTFOLIO EMG MK 8M 207K –
SPDR S&P 500 ETF TR TR UNIT 802K 1K –
SPDR SER TR PORTFOLI S&P1500 214K 3K –
TESLA INC COM 275K 1K –
TRIMBLE INC COM 909K 16K –
UNION PAC CORP COM 263K 1K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 419K 6K –
VANGUARD CALIF TAX FREE FDS TAX EXEMPT BD FD 562K 6K –
VANGUARD INDEX FDS GROWTH ETF 324K 866 –
VANGUARD INDEX FDS MCAP GR IDXVIP 10M 44K –
VANGUARD INDEX FDS MCAP VL IDXVIP 7M 50K –
VANGUARD INDEX FDS S&P 500 ETF SHS 530K 1K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 2M 57K –
VANGUARD MUN BD FDS TAX EXEMPT BD 2M 35K –
VANGUARD SCOTTSDALE FDS TOTAL WLD BD ETF 399K 6K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 6M 131K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 2M 15K –
VANGUARD WORLD FD ESG INTL STK ETF 880K 15K –
VISA INC COM CL A 208K 791 –
WALMART INC COM 224K 3K –
WISDOMTREE TR PUTWRITE STRAT 3M 83K –
WISDOMTREE TR US MIDCAP DIVID 1M 23K –
WISDOMTREE TR US S CAP QTY DIV 226K 5K –
WORKDAY INC CL A 687K 3K –