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OPTIMA CAPITAL MANAGEMENT

TEMPE, AZ · CRD 306036 · IAPD ↗ · 480-757-9052

$150.3MRegulatory AUM
4Advisory reps
4Employees
6Clients
101-250Planning clients
0Private funds
22States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
February 2026 — OPTIMA CAPITAL MANAGEMENT notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
60
February 2026 — OPTIMA CAPITAL MANAGEMENT reported RAUM up 29% ($116.5M -> $150.3M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
42
December 2025 — OPTIMA CAPITAL MANAGEMENT notice-filed in OK.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
December 2025 — OPTIMA CAPITAL MANAGEMENT added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
44
August 2025 — OPTIMA CAPITAL MANAGEMENT notice-filed in NE, NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
June 2025 — OPTIMA CAPITAL MANAGEMENT notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
46
April 2025 — OPTIMA CAPITAL MANAGEMENT notice-filed in IN, UT, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
March 2025 — OPTIMA CAPITAL MANAGEMENT (TEMPE, AZ) is newly SEC-registered with $116.5M RAUM and 4 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.