Private fund adviser · Traverse City, MI
Optimal Capital Advisors, LLC
SEC-registered investment adviser · CRD 144719 · SEC 801-68219
At a glance
Optimal Capital Advisors, LLC is an SEC-registered investment adviser based in Traverse City, Michigan, with $120 million in regulatory assets under management as of its Form ADV filed March 23, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 127 individual clients. By Form ADV it is a private fund adviser, ranked 4,409th of 4,686 private fund advisers and 14,729th of 17,210 SEC-registered advisers by assets.
Main office 231-933-4677optimalcapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $120M
- Rank among private fund advisers
- #4,409 of 4,686
- Rank among all SEC RIAs
- #14,729 of 17,210
- Rank in Michigan
- #278 of 305
- Individual clients
- 127
- High-net-worth clients
- 25
- Accounts
- 223
- Discretionary
- 100% of AUM
- Employees
- 2
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Joseph P. Batcha IIIPrincipal/ Chief Compliance Officer
Custody and brokerage
2 custodians
- Inspira Financial$84M82%
- Fidelity$18M18%
Other RIAs using Inspira FinancialOther multi-custodian RIAs
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 25 | $93M | 77% |
| Individuals | 102 | $21M | 18% |
| Charitable organizations | 3 | $5M | 4% |
| Pension and profit sharing plans | 1 | $0M | <1% |
Private funds
Optimal Capital Advisors, LLC reports 13 private funds with $100M in gross assets: private equity funds, real estate funds, other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Optimal Capital Advisors, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗optimalcapital.com ↗
AtlasMembers
The full record on Optimal Capital Advisors, LLC
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, ten years of filings
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- Growth over one, three and five years
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- Rank against 1,211 peers of its type and size
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- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Optimal Capital Advisors, LLC manage?
Optimal Capital Advisors, LLC reports $120 million in regulatory assets under management across 223 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 23, 2026.
What kind of firm is Optimal Capital Advisors, LLC?
Optimal Capital Advisors, LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Optimal Capital Advisors, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($93 million, 25 clients); individuals ($21 million, 102 clients); charitable organizations ($5 million, 3 clients).
Does Optimal Capital Advisors, LLC manage private funds?
Yes. It reports 13 private funds with $100 million in gross assets, including private equity funds, real estate funds, other private funds.
Does Optimal Capital Advisors, LLC have any disciplinary history?
Optimal Capital Advisors, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Optimal Capital Advisors, LLC’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 (2026-03-23), 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 →