Private fund adviser · New York, NY
Opto Investment Management, LLC
SEC-registered investment adviser · CRD 316847 · SEC 801-123757
At a glance
Opto Investment Management, LLC is an SEC-registered investment adviser based in New York, New York, with $929 million in regulatory assets under management as of its Form ADV filed July 31, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 2,387th of 4,686 private fund advisers and 5,602nd of 17,210 SEC-registered advisers by assets.
Main office 212-658-0382optoinvest.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $929M
- Rank among private fund advisers
- #2,387 of 4,686
- Rank among all SEC RIAs
- #5,602 of 17,210
- Rank in New York
- #1,191 of 2,591
- Clients
- 34
- Accounts
- 34
- Discretionary
- 79% of AUM
- Employees
- 14
- Advisory staff
- 6
- Offices
- 1
Owners and executives on its Form ADV
- MATTHEW D. MALONEPresident
- Saleemah H. AhamedChief Compliance Officer
- Alexis I. RiegerHead of Legal of Opto Investments Inc.
Custody and brokerage
Custodian
Opto Investment Management, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Opto Investment Management, LLC is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 34 | $929M | 100% |
Private funds
Opto Investment Management, LLC reports 29 private funds with $384M in gross assets: private equity funds, venture capital funds, real estate funds, securitized asset funds, other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Opto Investment Management, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗optoinvest.com ↗
AtlasMembers
The full record on Opto Investment Management, 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, 3 years of filings
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- Growth over one, three and five years
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- Rank against 2,185 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 4Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Opto Investment Management, LLC manage?
Opto Investment Management, LLC reports $929 million in regulatory assets under management across 34 accounts, 79% of it on a discretionary basis, on its Form ADV filed July 31, 2026.
What kind of firm is Opto Investment Management, LLC?
Opto Investment Management, LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Opto Investment Management, LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($929 million, 34 clients).
Does Opto Investment Management, LLC manage private funds?
Yes. It reports 29 private funds with $384 million in gross assets, including private equity funds, venture capital funds, real estate funds, securitized asset funds, other private funds.
Does Opto Investment Management, LLC have any disciplinary history?
Opto Investment Management, 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 Opto Investment Management, 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 (2026-07-31), 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 →