OPTIMIZE FINANCIAL INC.
Adviser information for OPTIMIZE FINANCIAL INC. last updated from Form ADV on March 28th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 124 | $152.5M |
| Non-Discretionary | 0 | $0 |
| Total | 124 | $152.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 77 | $129.5M |
| HNW Individuals | 47 | $23.0M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-122500 |
|---|---|
| SEC ERA File Number | 801-122500 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 315963 |
| Legal Entity Identifier | None |
Principal Office
23212 MILL CREEK DRIVELAGUNA HILLS
CA
United States
Monday - Friday, 9 AM - 5PM
Tel: 949-471-0000, Fax: None
Chief Compliance Officer
TARA E. MCCLANAHAN
501 S. CHERRY ST.
SUITE 610
DENVER
CO
United States
Tel:
305-331-7125
T**************@********************M
(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 |
|---|---|---|---|---|---|
| WITTERS, CASEY, ELIZABETH | Individual | – | CHIEF EXECUTIVE OFFICER AND MANAGING MEMBER | 09/2021 | > 75% |
| McClanahan, Tara, Elizabeth | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |