OPTIMUM INVESTMENT ADVISORS, LLC
Adviser information for OPTIMUM INVESTMENT ADVISORS, LLC last updated from Form ADV on February 8th, 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 | Illinois, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 376 | $276.1M |
| Non-Discretionary | 63 | $11.4M |
| Total | 439 | $287.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 109 | $81.8M |
| HNW Individuals | 53 | $144.9M |
| 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 | <5 | $45.3M |
| 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 | 70 | $15.6M |
| 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 businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-35773 |
|---|---|
| SEC ERA File Number | 801-35773 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105182 |
| Legal Entity Identifier | None |
Principal Office
20 S. CLARK STREETSUITE 2130
CHICAGO
IL
United States
Monday - Friday, 8:30 - 5:00
Tel: 312-782-1515, Fax: 312-782-9797
Websites
Chief Compliance Officer
TERRY M. MCCAFFREY
PRESIDENT & CEO
20 S. CLARK STREET
SUITE 2130
CHICAGO
IL
United States
Tel:
312-782-1515
Fax:
312-782-9797
T*********@********************M
(Full email address available in API data)
Regulatory Contact
JASON R. SIPPEL
INVESTMENT SUPPORT SPECIALIST
20 S. CLARK STREET
SUITE 2130
CHICAGO
IL
United States
Tel:
312-456-3311
Fax:
312-782-9797
J******@********************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 |
|---|---|---|---|---|---|
| OPTIMUM INVESTMENT GROUP, LLC | Domestic Entity | – | MEMBER AND MANAGER | 08/2004 | > 75% |
| MCCAFFREY, TERRY, MICHAEL | Individual | – | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | 02/2009 | < 5% |
| MCCAFFREY, TERRY, MICHAEL | Individual | OPTIMUM INVESTMENT GROUP, LLC | MEMBER | 09/2013 | > 75% |