{"url":"https://nivawealth.com/firms/optima-capital-management-306036","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/306036","regulatoryAum":150319761,"crd":"306036","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6164333","suffix":null,"lastName":"Bendell","firstName":"Todd","middleName":"Michael"},{"crd":"4641046","suffix":null,"lastName":"Elliott","firstName":"Jonathan","middleName":null},{"crd":"6664344","suffix":null,"lastName":"Steinhoff","firstName":"Clinton","middleName":"Craig"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-07-16","regulatoryAum":116525671,"clients":163,"employees":4,"offices":2},{"filedOn":"2026-04-22","regulatoryAum":150319761,"clients":215,"employees":4,"offices":3}],"secFileNumber":"801-131999","legalName":"Optima Capital Management LLC","displayName":"Optima Capital 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Schwab","location":"Westlake, TX","smaAssets":130237786},{"name":"Stancorp Investment Advisors","shortName":"Stancorp Investment Advisors","location":"Portland, OR","smaAssets":20081974}],"custodyNote":"Optima Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jonathan Elliott","title":"Co-Founder & Chief Compliance Officer","crd":"4641046"},{"name":"Todd Bendell","title":"Co-Founder","crd":"6164333"}],"ownership":[{"label":"Jonathan Elliott","detail":"Co-founder & chief compliance officer in the 50% to 75% ownership band and a control person, since September 2019."},{"label":"Todd Bendell","detail":"Co-founder in the 50% to 75% ownership band and a control person, since September 2019."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":1},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":2,"addresses":[{"street":"222 S Mill Ave, Ste 800","city":"Tempe","headquarters":true},{"street":"7014 E Camelback RD","city":"Scottsdale"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"480-757-9052","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":57},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":40},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"22 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/306036/PDF/306036.pdf","brochureDate":"22 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042374","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Optima Capital Management have?","answer":"Optima Capital Management has 215 clients and manages $150 million for them, as of April 2026. They include 179 individual clients and 36 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 22 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Optima Capital Management offer?","answer":"Optima Capital Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Optima Capital Management charge?","answer":"Optima Capital Management charges up to 1.50% for its Portfolio Management. The brochure does not state whether the rate is annual. The fee is billed in advance and is negotiable.","source":"ADV PART 2A, filed 22 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Optima Capital Management use?","answer":"Optima Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $130M and Stancorp Investment Advisors (Portland, OR), with $20.1M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 22 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Optima Capital Management have?","answer":"Optima Capital Management has 4 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Optima Capital Management invest in?","answer":"At the end of its last fiscal year, Optima Capital Management’s separately managed accounts held 57% exchange-traded equities, 40% registered funds (mutual funds, ETFs, BDCs), 2% cash and equivalents and 1% state and local bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Optima Capital Management?","answer":"Optima Capital Management’s direct owners are Jonathan Elliott (50% to 75%) and Todd Bendell (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 22 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Optima Capital Management get paid?","answer":"Optima Capital Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Optima Capital Management?","answer":"Optima Capital Management’s main office is at 222 S Mill Ave, Ste 800, Tempe, AZ 85281. Its phone number is 480-757-9052. Its website is optimacapitalmgt.com.","source":"Form ADV Part 1A, Item 1.F, filed 22 April 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}