Fee-only adviser · Tempe, AZ
Optima Capital Management
Optima Capital Management is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in Tempe, Arizona. On its latest Form ADV, filed April 22, 2026, it reports $150M in regulatory assets under management, 215 individual clients and 4 employees who give investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | SEC-registered |
|---|---|
| Firm CRD number | 306036 · SEC file 801-131999 |
| Office | 222 S Mill Ave Ste 800 Tempe, AZ 85281 |
| Phone | (480) 757-9052 |
| Website | www.optimacapitalmgt.com |
| Regulatory assets under management | $150M |
| Individual clients | 179 non-high-net-worth, 36 high-net-worth |
| Financial planning clients | 101-250 |
| How it charges | Percentage of assets |
| Services | Financial planning, Portfolio management, Pension consulting, Selection of other advisers, Educational seminars |
| Employees | 4 |
| Disciplinary disclosures | Yes, see SEC record |
| Latest Form ADV filing | April 22, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It charges only as a percentage of the assets it manages. Ask about the fee schedule and any account minimum, which Form ADV Part 1 does not record.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- It provides financial planning services, not only portfolio management.
- It reports disciplinary history on Form ADV. Read the disclosure details on its SEC record before you engage it.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
Other fee-only advisers in Tempe
- Graystone Partners Wealth Management, LLC $297M
- Johnson Financial Advisors $301M
- Intrinsic Wealth Counsel, Inc. $345M
- Harding Wealth, Inc. $213M
- Envision Retirement LLC $96M
- Calisi Wealth Management $75M
See all 10 fee-only advisers in Tempe →
Nearby
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- Paradise Valley 1 firm
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- Gilbert 10 firms
- Fountain Hills 2 firms
- Glendale 3 firms
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