OPTIMAL CAPITAL ADVISORS, LLC
Adviser information for OPTIMAL CAPITAL ADVISORS, LLC last updated from Form ADV on March 27th, 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 | Michigan, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 317 | $116.6M |
| Non-Discretionary | 0 | $0 |
| Total | 317 | $116.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 106 | $22.0M |
| HNW Individuals | 24 | $89.9M |
| 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 | $298,553 |
| Charitable organizations | <5 | $4.5M |
| 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 businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissionsPerformance-based fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-68219 |
|---|---|
| SEC ERA File Number | 801-68219 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 144719 |
| Legal Entity Identifier | None |
Principal Office
12935 SW BAYSHORE DRSUITE 305
TRAVERSE CITY
MI
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 231-933-4677, Fax: 231-933-4676
Chief Compliance Officer
JAY BATCHA
PRINCIPAL
12935 SW BAYSHORE DRSUITE 305
TRAVERSE CITY
MI
United States
Tel:
231-933-4677
Fax:
231-933-4676
J******@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| OHA SP-IV, LLC | Private Equity Fund | $0.8M | $0.0M | 18 |
| OPTIMAL ACCESS I | FEEDER INTO A HEDGE FUND | $1.3M | $0.1M | 17 |
| OPTIMAL HEALTH ADVOCATES FUND | Private Equity Fund | $7.5M | $0.1M | 37 |
| OPTIMAL MCAP FUND II, LLC | Real Estate Fund | $9.3M | $0.1M | 26 |
| OPTIMAL SIC 6X9 - B3 PFD, LLC | Private Equity Fund | $2.5M | $0.0M | 20 |
| OPTIMAL SIC 6X9 CVT NOTE LLC | Private Equity Fund | $3.8M | $0.0M | 14 |
| OPTIMAL SIC 6X9, LLC | Private Equity Fund | $34.1M | $0.1M | 41 |
| OPTIMAL SM CAPITAL FUND I, LLC | FEEDER INTO A HEDGE FUND | $9.1M | $0.1M | 22 |
| OSAAS-VIZI, LLC | Private Equity Fund | $3.4M | $0.1M | 34 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BATCHA III, JOSEPH, PATRICK | Individual | – | PRINCIPAL/ CHIEF COMPLIANCE OFFICER | 04/2006 | 50-75% |