Data / Investment advisers / Arizona / Optima Capital Management
Optima Capital Management, Tempe, AZ: $150 million AUM, SEC registered investment adviser
Optima Capital Management is an SEC registered investment adviser with its main office in Tempe, Arizona and reports $150 million in regulatory assets under management in its Form ADV filed April 22, 2026. Its clients include high net worth individuals, individuals and pension and profit sharing plans. It is paid through a percentage of assets under management.
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- Registration
- SEC registered investment adviser
- CRD number
- 306036
- SEC file number
- 801-131999
- SEC status
- Approved, effective February 18, 2025
- Legal name
- Optima Capital Management LLC
- Main office
- 222 S Mill Ave Ste 800, Tempe, AZ 85281
- Phone
- (480) 757-9052
- Regulatory AUM
- $150,319,761 in the Form ADV filed April 22, 2026
- Discretionary AUM
- $150,319,761
- Accounts
- 427
- Employees
- 4, of which 4 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management
- Other offices
- 2
- Form ADV Item 11 disclosures
- Reported: other federal, state or foreign regulatory actions
- Latest Form ADV filing
- April 22, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 36 | $70.4 million |
| Individuals (other than high net worth individuals) | 179 | $59.9 million |
| Pension and profit sharing plans | Fewer than 5 | $20.1 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $150.3 million | March 30, 2026 |
| February 2, 2026 | $150.3 million | January 15, 2026 |
| December 1, 2025 | $116.5 million | November 12, 2025 |
Other advisers in Tempe
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Intrinsic Wealth Counsel, Inc. | Tempe | $344.7 million | Not listed | adviserinfo.sec.gov |
| Johnson Financial Advisors | Tempe | $301 million | Not listed | adviserinfo.sec.gov |
| Graystone Partners Wealth Management, LLC | Tempe | $297.3 million | Not listed | adviserinfo.sec.gov |
| Harding Wealth, Inc. | Tempe | $212.6 million | Not listed | adviserinfo.sec.gov |
| Financial Life Planners | Tempe | $208.4 million | Not listed | adviserinfo.sec.gov |
| Martinsen Wealth Management | Tempe | $143.2 million | Not listed | adviserinfo.sec.gov |
| Arbor Wealth Management, LLC | Tempe | $138.1 million | Not listed | adviserinfo.sec.gov |
| Embark Wealth Management, LLC | Tempe | $57.4 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Tempe, AZ
- Investment advisers in Arizona
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Optima Capital Management on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.