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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

OPTIMA CAPITAL MANAGEMENT, INC.

OPTIMA CAPITAL MANAGEMENT INC, CRD 111409

SAN ANTONIO, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ec659611-8949-2d56-dcd4-aca647579b78

Data as of Mar 25, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Feb 27, 2012 to Mar 25, 2014
6 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $252MItem 5.F on the latest filing (2014-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $252M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 3
Accounts: 226
SEC number: 801-57706
CRD: 111409
Filings on the tape: 6
First filed: Feb 27, 2012
Latest filed: Mar 25, 2014
Organised: Corporation, Texas

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ACTINVER HOLDINGS, INC.	Owner	E	yes	10/2007	Nov 11, 2013	Mar 25, 2014
ACTINVER WEALTH MANAGEMENT, INC.	Owner	E	yes	10/2013	Nov 11, 2013	Mar 25, 2014
CORPORACION ACTINVER S.A.B. DE C.V.	Shareholder	E	yes	03/2009	Nov 11, 2013	Mar 25, 2014
LOPEZ, BENJAMIN, JORGE	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER	Na	yes	02/2013	Feb 27, 2012	Mar 25, 2014
MONTES-DE-OCA, LUIS, N/A	President	Na	yes	07/1995	Feb 27, 2012	Mar 25, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ACTINVER WEALTH MANAGEMENT, INC.	n/a	Independent wealth	$1.4B	N	yes	n/a
LYONROSS CAPITAL MANAGEMENT, LLC	n/a	Independent wealth	$881M	N	yes	n/a
ACTINVER SECURITIES, INC.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 25, 2014	$252M	$252M	7	3	n/a	n/a	n/a
2012	Feb 22, 2013	$247M	$247M	7	3	n/a	n/a	n/a
2011	Feb 27, 2012	$227M	$227M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$252M	$247M	1.8%	n/a	n/a	7	7	n/a	n/a

Relationships

Affiliated with (2)

→ ALTERNA WEALTH MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ LYONROSS CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (5)

← ACTINVER WEALTH MANAGEMENT, INC.OwnerOWNER, ownership code E, domestic entity
Nov 11, 2013 to presentfactForm ADV
← MONTES-DE-OCA, LUIS, N/AOwnerPRESIDENT, ownership code NA, individual
Feb 27, 2012 to presentfactForm ADV
← LOPEZ, BENJAMIN, JORGEOwnerVICE PRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 27, 2012 to presentfactForm ADV
← ACTINVER HOLDINGS, INC.OwnerOWNER, ownership code E, domestic entity
Nov 11, 2013 to presentfactForm ADV
← CORPORACION ACTINVER S.A.B. DE C.V.OwnerSHAREHOLDER, ownership code E, foreign entity
Nov 11, 2013 to presentfactForm ADV

Registered with (3)

← FRANCISCO XAVIER MAZAAdvisorregistration: previous registration
Nov 26, 2013 to May 2, 2014factForm ADV
← ALBERTO RAMOS ALATORREAdvisorregistration: previous registration
May 1, 2012 to Apr 28, 2014factForm ADV
← BENJAMIN JORGE LOPEZAdvisorregistration: previous registration
Apr 13, 2011 to Apr 28, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ec659611-8949-2d56-dcd4-aca647579b78
First observed: Feb 27, 2012
Last observed: Mar 25, 2014 152 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

OPTIMA CAPITAL MANAGEMENT, INC.

OPTIMA CAPITAL MANAGEMENT INC, CRD 111409

SAN ANTONIO, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ec659611-8949-2d56-dcd4-aca647579b78

Data as of Mar 25, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:03 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ACTINVER HOLDINGS, INC.

Owner

yes

10/2007

Nov 11, 2013

Mar 25, 2014

ACTINVER WEALTH MANAGEMENT, INC.

Owner

yes

10/2013

Nov 11, 2013

Mar 25, 2014

CORPORACION ACTINVER S.A.B. DE C.V.

Shareholder

yes

03/2009

Nov 11, 2013

Mar 25, 2014

LOPEZ, BENJAMIN, JORGE

VICE PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

02/2013

Feb 27, 2012

Mar 25, 2014

MONTES-DE-OCA, LUIS, N/A

President

yes

07/1995

Feb 27, 2012

Mar 25, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ACTINVER WEALTH MANAGEMENT, INC.

n/a

Independent wealth

$1.4B

yes

n/a

LYONROSS CAPITAL MANAGEMENT, LLC

n/a

Independent wealth

$881M

yes

n/a

ACTINVER SECURITIES, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 25, 2014

$252M

n/a

2012

Feb 22, 2013

$247M

n/a

2011

Feb 27, 2012

$227M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$252M

$247M

1.8%

n/a