Data / Investment advisers / Michigan / Optimal Capital Advisors, LLC
Optimal Capital Advisors, LLC, Traverse City, MI: $120 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Optimal Capital Advisors, LLC is an SEC registered investment adviser with its main office in Traverse City, Michigan and reports $120 million in regulatory assets under management in its Form ADV filed March 23, 2026. Its clients include high net worth individuals, individuals and charitable organizations. It is paid through a percentage of assets under management, hourly charges and fixed fees. It advises 13 private funds.
The request: Watch Optimal Capital Advisors, LLC (CRD number 144719): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 144719
- SEC file number
- 801-68219
- SEC status
- Approved, effective August 20, 2007
- Main office
- 12935 SW Bayshore Dr Suite 305, Traverse City, MI 49684
- Phone
- (231) 933-4677
- Regulatory AUM
- $119,931,878 in the Form ADV filed March 23, 2026
- Discretionary AUM
- $119,931,878
- Accounts
- 223
- Employees
- 2, of which 2 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees, performance based fees
- Private funds
- 13: 9 private equity funds, 2 real estate funds, 2 other private funds
- Gross assets of private funds
- $100,421,508
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 23, 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 | 25 | $92.8 million |
| Individuals (other than high net worth individuals) | 102 | $21.5 million |
| Charitable organizations | 3 | $5.3 million |
| Pension and profit sharing plans | 1 | $341,948 |
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 | $119.9 million | March 23, 2026 |
| December 1, 2025 | $119.1 million | March 31, 2025 |
Other advisers in Traverse City
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Hemming& Wealth Management, Inc. | Traverse City | $292.6 million | Not listed | adviserinfo.sec.gov |
| Up North Financial, LLC | Traverse City | $203.8 million | Not listed | adviserinfo.sec.gov |
| Independent Wealth Management, LLC | Traverse City | $203 million | Not listed | adviserinfo.sec.gov |
| Black Walnut Wealth Management | Traverse City | $136.8 million | Not listed | adviserinfo.sec.gov |
| Legacy Financial Services Group, Inc. | Traverse City | $122.8 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Traverse City, MI
- Investment advisers in Michigan
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Advisers that manage private funds
- Optimal Capital Advisors, LLC on the SEC's adviser search
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.