OPTIMA ASSET MANAGEMENT INC
Adviser information for OPTIMA ASSET MANAGEMENT INC last updated from Form ADV on March 9th, 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 | Texas, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 0 | $0 |
| Non-Discretionary | 285 | $599.0M |
| Total | 285 | $599.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 18 | $4.3M |
| HNW Individuals | 104 | $593.6M |
| 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 | $1.2M |
| 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 | $10,683 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 18 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-52409 |
|---|---|
| SEC ERA File Number | 801-52409 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106095 |
| Legal Entity Identifier | None |
Principal Office
8144 WALNUT HILL LANESUITE 1180
DALLAS
TX
United States
Monday - Friday, 8:30AM-4:30PM
Tel: 972-726-0400, Fax: None
Chief Compliance Officer
ARCHIE PONCE
EXECUTIVE VICE PRESIDENT
8144 WALNUT HILL LANE
SUITE 1180
DALLAS
TX
United States
Tel:
972-726-0400
A*****@*****************M
(Full email address available in API data)
Regulatory Contact
PAUL LIGHTFOOT
PRESIDENT AND CEO
8144 WALNUT HILL LANE
SUITE 1180
DALLAS
TX
United States
Tel:
972-726-0400
P***@*****************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 |
|---|---|---|---|---|---|
| PONCE, ARCHIE, ALBA | Individual | – | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 01/2016 | 25-50% |
| LIGHTFOOT, PAUL, ALAN | Individual | – | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 01/2016 | 50-75% |