OPTIMA ASSET MANAGEMENT LLC

other names
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Adviser Profile
As of Date 04/04/2024
Adviser Type - Large advisory firm
Number of Employees 20 -9.09%
of those in investment advisory functions 10 -9.09%
Registration SEC, Approved, 05/10/2019
AUM* 812,753,000 -14.35%
of that, discretionary 487,691,000 -28.53%
Private Fund GAV* 477,551,000 -80.58%
Avg Account Size 27,091,767 -31.48%
% High Net Worth 16.67% 33.33%
SMA’s Yes
Private Funds 17 2
Contact Info 212 xxxxxxx
Websites

Client Types

- High net worth individuals
- Investment companies
- Pooled investment vehicles
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

Recent News

Reported AUM

Discretionary
Non-discretionary
749M 642M 535M 428M 321M 214M 107M
2019 2020 2021 2022 2023

Private Funds



Employees

Private Funds Structure

Fund Type Count GAV
Fund TypeHedge Fund Count15 GAV$409,431,000
Fund TypeOther Private Fund Count2 GAV$68,120,000

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Brochure Summary

Overview

A. Optima Asset Management LLC (“Optima”) is a SEC-registered investment adviser. Optima is wholly owned by FWM Holdings, Inc, which also owns the registered investments advisers FFT Wealth Management LLC (“FFT”) and LGL Partners, LLC (“LGL”). 100% of the equity interests in FWM Holdings, Inc. are owned by Stanhope Capital (Switzerland) SA, a Swiss societe anonyme, which is a wholly-owned subsidiary of Stanhope Capital Group SA, a Swiss societe anonyme. B. Optima offers advice to thirteen commingled investment vehicles that it or its affiliates sponsor (each a “Client Pooled Fund”, collectively the “Client Pooled Funds”). The Client Pooled Funds may generally invest in other commingled investment vehicles that trade the following types of investments: exchange-listed securities; securities traded over the counter; foreign issuers; warrants; corporate debt securities (other than commercial paper); United States government securities; options contracts on securities and commodities; futures contracts; currencies; commodities; and futures. In addition, Optima offers advice to two sub-funds of an Irish collective asset- management vehicle (”ICAV Accounts”) that trade in exchange-listed securities and a 40 Act registered investment company
that invests in fixed income related instruments. Optima also offers advice on a customized basis to segregated accounts (each a “Client Managed Account”, collectively the “Client Managed Accounts”) that in turn invest generally in other commingled investment vehicles. Two Client Managed Accounts invest directly in exchange-listed securities. Investment advice given to Client Managed Accounts may be discretionary or non-discretionary depending on specific agreement between the client and Optima. C. Client Pooled Funds invest in different investment strategies and may have different investment restrictions and Optima customizes the investment portfolio of such Client Pooled Funds accordingly. With respect to Client Managed Accounts, Optima will work with the investor or sponsor to tailor the investment program to the investor’s investment objectives, risk tolerance and any investment restrictions such investor may want to impose. In each case, Optima monitors the investments of such Client Pooled Funds and Client Managed Accounts in light of their respective investment objectives, risk tolerance, and investment restrictions, if any. D. Optima does not participate in wrap fee programs. E. As of December 31, 2023, Optima had Regulatory Assets Under Management of $487,689,000 on a discretionary basis and $325,062,000 on a non-discretionary basis.