← Tributary

OPTO INVESTMENT MANAGEMENT, LLC

NEW YORK, NY · CRD 316847 · IAPD ↗ · 212-658-0382

$928.6MRegulatory AUM
6Advisory reps
14Employees
0Clients
n/aPlanning clients
29Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

55
August 2026 — OPTO INVESTMENT MANAGEMENT, LLC reported RAUM up 64% ($565.4M -> $928.6M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
55
April 2026 — OPTO INVESTMENT MANAGEMENT, LLC crossed $500M in regulatory AUM ($371.0M -> $565.4M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
54
December 2025 — OPTO INVESTMENT MANAGEMENT, LLC reported RAUM up 59% ($233.6M -> $371.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
50
April 2025 — OPTO INVESTMENT MANAGEMENT, LLC now reports custody of client assets ($233.6M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
52
April 2025 — OPTO INVESTMENT MANAGEMENT, LLC grew from 3 to 5 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
40
November 2024 — LONSDALE INVESTMENT MANAGEMENT, LLC is now doing business as OPTO INVESTMENT MANAGEMENT, LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
55
July 2024 — LONSDALE INVESTMENT MANAGEMENT, LLC reported RAUM up 76% ($101.8M -> $179.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
46
April 2024 — LONSDALE INVESTMENT MANAGEMENT, LLC reported RAUM up 33% ($76.3M -> $101.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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