9AT: OPTIMA ASSET MANAGEMENT LLC

other names

OPTIMA ASSET MANAGEMENT LLC
FWM ACQUISITION LLC

Adviser Profile

As of Date	03/31/2025
ADV Location	NEW YORK, NY, United States
Adviser Type - Large advisory firm
Number of Employees	30 36%
of those in investment advisory functions	14 27%
Registration	SEC, Approved, 05/10/2019

AUM^*	807,385,672 -15%
of that, discretionary	486,019,830 -29%
Private Fund GAV^*	442,796,393 -7%
Avg Account Size	26,912,856 -32%
% High Net Worth	16.67% 33%
SMA’s	Yes
Private Funds	20 5
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

Fund Type	Count	GAV
Fund TypeHedge Fund	Count17	GAV$363,731,329
Fund TypeOther Private Fund	Count3	GAV$79,065,064

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser ADVISORY RESEARCH INC	Hedge Fund148.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV148.0m	AUM721.5m	#Funds2
Adviser LANSDOWNE PARTNERS (UK) LLP	Hedge Fund2.6b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund677.5m	Total Private Fund GAV3.3b	AUM8.0b	#Funds17
Adviser FORMULA GROWTH LIMITED	Hedge Fund242.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund127.1m	Total Private Fund GAV369.2m	AUM369.2m	#Funds7
Adviser AVENUE ASIA CAPITAL MANAGEMENT, L.P.	Hedge Fund1.8b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund37.5m	Total Private Fund GAV1.8b	AUM1.8b	#Funds8
Adviser DALTON INVESTMENTS, INC.	Hedge Fund296.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund236.0m	Total Private Fund GAV532.7m	AUM4.1b	#Funds22
Adviser HILLSDALE INVESTMENT MANAGEMENT INC.	Hedge Fund835.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund6.1m	Total Private Fund GAV841.9m	AUM4.5b	#Funds8
Adviser RADCLIFFE CAPITAL MANAGEMENT, L.P.	Hedge Fund2.5b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund906.5m	Total Private Fund GAV3.4b	AUM4.4b	#Funds18
Adviser AMUNDI ASSET MANAGEMENT US, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM122.1b	#Funds-
Adviser BAYVIEW ASSET MANAGEMENT, LLC	Hedge Fund45.8b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund426.4m	Total Private Fund GAV46.2b	AUM44.8b	#Funds62
Adviser SAMLYN CAPITAL, LLC	Hedge Fund11.7b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund972.6k	Total Private Fund GAV11.7b	AUM9.7b	#Funds10

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.

OPTIMA ASSET MANAGEMENT LLC

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