Wealth manager, independent · Tempe, AZ
Optima Capital Management
Optima Capital Management LLC · SEC-registered investment adviser · CRD 306036 · SEC 801-131999
At a glance
Optima Capital Management is an SEC-registered investment adviser based in Tempe, Arizona, with $150 million in regulatory assets under management as of its Form ADV filed April 22, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 215 individual clients. By Form ADV it is a wealth manager, ranked 6,875th of 8,915 wealth managers and 13,674th of 17,210 SEC-registered advisers by assets.
Main office 480-757-9052optimacapitalmgt.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $150M
- Rank among wealth managers
- #6,875 of 8,915
- Rank among all SEC RIAs
- #13,674 of 17,210
- Rank in Arizona
- #160 of 212
- Individual clients
- 215
- High-net-worth clients
- 36
- Accounts
- 427
- Discretionary
- 100% of AUM
- Employees
- 4
- Advisory staff
- 4
- Offices
- 3
Owners and executives on its Form ADV
- Jonathan M. ElliottCo-Founder & Chief Compliance Officer
- Todd M. BendellCo-Founder
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 36 | $70M | 47% |
| Individuals | 179 | $60M | 40% |
| Pension and profit sharing plans | – | $20M | 13% |
Disciplinary disclosures
Optima Capital Management answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗optimacapitalmgt.com ↗
AtlasMembers
The full record on Optima Capital Management
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 1 years of filings
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- Growth over one, three and five years
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- Rank against 5,387 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Optima Capital Management manage?
Optima Capital Management reports $150 million in regulatory assets under management across 427 accounts, 100% of it on a discretionary basis, on its Form ADV filed April 22, 2026.
What kind of firm is Optima Capital Management?
Optima Capital Management is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Optima Capital Management’s clients?
By assets, its largest client types are high-net-worth individuals ($70 million, 36 clients); individuals ($60 million, 179 clients); pension and profit sharing plans ($20 million).
Does Optima Capital Management have any disciplinary history?
Optima Capital Management answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Optima Capital Management’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-22), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →