{"url":"https://nivawealth.com/firms/optivest-137070","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/137070","regulatoryAum":319437498,"crd":"137070","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2047866","suffix":null,"lastName":"CALHOUN","firstName":"LESLIE","middleName":"ANN"},{"crd":"5092477","suffix":null,"lastName":"MCMANUS","firstName":"MATTHEW","middleName":"MICHAEL"},{"crd":"6378339","suffix":null,"lastName":"THOMASON","firstName":"RYAN","middleName":"MICHAEL"}],"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":"2021-03-30","regulatoryAum":278485808,"clients":135,"employees":5,"offices":1},{"filedOn":"2022-03-29","regulatoryAum":396448772,"clients":94,"employees":5,"offices":1},{"filedOn":"2023-03-21","regulatoryAum":316777253,"clients":105,"employees":4,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":319909089,"clients":165,"employees":4,"offices":1},{"filedOn":"2025-04-01","regulatoryAum":316059892,"clients":104,"employees":4,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":319437498,"clients":108,"employees":4,"offices":1}],"secFileNumber":"801-68965","legalName":"Optivest, Inc.","displayName":"Optivest","slug":"optivest-137070","website":"https://optivestinc.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"30448 Rancho Viejo Road, Suite 230","city":"San Juan Capistrano","state":"CA","stateName":"California","country":"United States","postalCode":"92675"},"tradeNames":[],"registration":{"secApproved":"26 March 2008","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2873394.4444444445,"staff":{"employees":4,"advisory":3,"brokerDealerReps":3,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":319437498,"discretionary":210288725,"discretionaryAccounts":320,"nonDiscretionary":109148773,"nonDiscretionaryAccounts":102,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":52,"regulatoryAum":19836737},{"label":"High-net-worth individuals","clients":56,"regulatoryAum":290489863},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":3771073},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":1631092},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":1428977},{"label":"Other","clients":null,"fewerThan5":true,"regulatoryAum":2279756}],"feePrograms":[{"role":"main","program":"Optivest Portfolios","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031734","versionId":1031734,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-30","documentName":"ADV PART 2A BROCHURE- MARCH 2026","fee_rate_low":0.35,"fee_rate_high":1.25,"fee_negotiable":null,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Family office services","summary":"Some family office services are billed at an hourly fee between $25 and $500 an hour, depending on the service selected.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031734","versionId":1031734,"submittedOn":"2026-03-30","documentName":"ADV PART 2A BROCHURE- MARCH 2026"},{"role":"other","program":"Family wealth advisory","summary":"Offered at $150 to $500 an hour, depending on the complexity of the situation.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031734","versionId":1031734,"submittedOn":"2026-03-30","documentName":"ADV PART 2A BROCHURE- MARCH 2026"},{"role":"other","program":"Financial and retirement planning","summary":"Consultations are billed hourly at $150 to $500 an hour; OptiWealth set-up has a minimum $3,000 fee.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031734","versionId":1031734,"submittedOn":"2026-03-30","documentName":"ADV PART 2A BROCHURE- MARCH 2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:06:30.143406+00:00","documents":[{"name":"ADV PART 2A BROCHURE- MARCH 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031734","versionId":1031734,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":197082054}],"custodyNote":"Optivest does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Leslie Calhoun","title":"President/Chief Compliance Officer/CEO","crd":"2047866"},{"name":"Matthew McManus","title":"COO","crd":"5092477"}],"ownership":[{"label":"Leslie A Calhoun Revocable Living Trust Udt July 18, 2013","detail":"Shareholder in the 75% or more ownership band and a control person, since December 2024."},{"label":"McManus Family Trust DTD January 29, 2014","detail":"Shareholder in the 25% to 50% ownership band and a control person, since December 2024."},{"label":"Leslie Calhoun","detail":"Indirect owner: a trustee of Leslie A Calhoun Revocable Living Trust Udt July 18, 2013 in the 75% or more band and a control person, since December 2024.","parent":"Leslie A Calhoun Revocable Living Trust Udt July 18, 2013"},{"label":"Matthew McManus","detail":"Indirect owner: a trustee of McManus Family Trust DTD January 29, 2014 in the 25% to 50% band and a control person, since December 2024.","parent":"McManus Family Trust DTD January 29, 2014"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"30448 Rancho Viejo Road, Suite 230","city":"San Juan Capistrano","headquarters":true}]}],"brochureServices":["business succession planning","estate planning","family office services","insurance","philanthropic planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"949-363-8686","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":29},{"label":"Securities issued by registered investment companies or business development companies","percent":29},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":27},{"label":"Cash and cash equivalents","percent":5},{"label":"Other","percent":10,"detail":"Annuities and Private Business Investments"}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/137070/PDF/137070.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031734","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 Optivest have?","answer":"Optivest has 108 clients and manages $319 million for them, as of March 2026. They include 56 high-net-worth individuals and 52 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Optivest offer?","answer":"Optivest provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, business succession planning, estate planning, family office services, insurance, and philanthropic planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Optivest charge?","answer":"Optivest charges 0.35%–1.25% a year for its Optivest Portfolios. The fee is billed in arrears.","source":"ADV PART 2A BROCHURE- MARCH 2026, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Optivest use?","answer":"Optivest’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $197M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Optivest have?","answer":"Optivest has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 0 employees are licensed insurance agents.","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 Optivest invest in?","answer":"At the end of its last fiscal year, Optivest’s separately managed accounts held 29% exchange-traded equities, 29% registered funds (mutual funds, ETFs, BDCs), 27% pooled vehicles (private funds and similar), 10% other and 5% cash and equivalents. The 10% other category is described as: Annuities and Private Business Investments.","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 Optivest?","answer":"Optivest is owned through trusts by Leslie Calhoun and Matthew McManus. Its direct owners are Leslie A Calhoun Revocable Living Trust Udt July 18, 2013 (75% or more) and McManus Family Trust DTD January 29, 2014 (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Optivest get paid?","answer":"Optivest is paid through a percentage of assets under management, hourly charges and fixed fees. 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 Optivest?","answer":"Optivest’s main office is at 30448 Rancho Viejo Road, Suite 230, San Juan Capistrano, CA 92675. Its phone number is 949-363-8686. Its website is optivestinc.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 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."}