OPTIMA CAPITAL LLC
Adviser information for OPTIMA CAPITAL LLC last updated from Form ADV on March 21st, 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 | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,375 | $247.7M |
| Non-Discretionary | 0 | $0 |
| Total | 1,375 | $247.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 614 | $150.4M |
| HNW Individuals | 47 | $97.3M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 10 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)ADVISORY CONSULTING |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-120712 |
|---|---|
| SEC ERA File Number | 801-120712 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310146 |
| Legal Entity Identifier | None |
Principal Office
500 SW 116TH AVE.BEAVERTON
OR
United States
Monday - Friday, 9:00 AM - 4:30 PM
Tel: 503-270-1314, Fax: None
Chief Compliance Officer
TOBIN WILLS
MANAGING MEMBER
445 E. 13TH ST.
AZUSA
CA
United States
Tel:
626-460-9648
T***@*******************M
(Full email address available in API data)
Regulatory Contact
JUSTIN BOGGS
MANAGING MEMBER/COO
500 SW 116TH AVE
BEAVERTON
OR
United States
Tel:
503-270-1314
J*****@*******************M
(Full email address available in API data)
Industry Affiliates
| PREMIER NETWORK | Insurance company or agency |
| PREMIER NETWORK | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BOGGS, JUSTIN, ALLEN | Individual | – | MANAGING MEMBER/CHIEF OPERATING OFFICER | 07/2023 | 50-75% |
| WILLS, TOBIN, DENNIS | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 07/2023 | 25-50% |