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

OPTIMAL PORTFOLIO, LLC

CRD 152462

PRINCETON, NJ

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:fead097b-9227-5741-baef-197e45389c9a

Data as of Jan 27, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 2
On other graphs: 0
Observed: Sep 15, 2021 to Jan 27, 2022
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: $114MItem 5.F on the latest filing (2022-01-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $114M
Private client RAUM: $107MderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 203
Individual clients: 13
High net worth clients: 184
SEC number: 801-122503
CRD: 152462
Filings on the tape: 6
First filed: Sep 15, 2021
Latest filed: Jan 27, 2022
Organised: Limited Liability Company, New Jersey

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
OEN, YU, K	PRESIDENT AND CCO	E	yes	01/2010	Sep 15, 2021	Jan 27, 2022

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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
2021	Jan 26, 2022	$114M	$114M	1	1	1	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
2021	$114M	n/a	n/a	n/a	n/a	1	n/a	1	n/a

Relationships

Controls (1)

← OEN, YU, KOwnerPRESIDENT AND CCO, ownership code E, individual
Sep 15, 2021 to presentfactForm ADV

Registered with (1)

← Yu OenAdvisorregistration: previous registration
Jan 20, 2010 to Nov 11, 2022factForm ADV

Dated events

Occurred
Nov 11, 2022
Advisor changed firm
Yu Oen left Optimal Portfolio, Llc for Hightower Advisors, Llc (registered 2022-10-31)
Form ADVobserved 5 days ago
Occurred
Sep 15, 2021
First Form ADV filing
Optimal Portfolio, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fead097b-9227-5741-baef-197e45389c9a
First observed: Sep 15, 2021
Last observed: Jan 27, 2022 56 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.

OPTIMAL PORTFOLIO, LLC

CRD 152462

PRINCETON, NJ

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:fead097b-9227-5741-baef-197e45389c9a

Data as of Jan 27, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:55 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

OEN, YU, K

PRESIDENT AND CCO

yes

01/2010

Sep 15, 2021

Jan 27, 2022

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Jan 26, 2022

$114M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$114M

n/a