DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Optimal Capital Advisors, LLC
Latest filing Mar 23, 2026
First filing on the tape Apr 2, 2012 · 45 filings
SEC status approved since Aug 20, 2007
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$114M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$60.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$120M as of Mar 23, 2026
Apr 2, 2012$79.7M then
HNW client RAUM$92.8M as of Mar 23, 2026
Mar 30, 2018$47.5M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Apr 2, 20120 then
Employees (5.A)2 as of Mar 23, 2026
Mar 28, 20136 then
Private funds13 as of Mar 23, 2026
Mar 30, 20181 then
RAUM +0.7% over the last fiscal year+1.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $60.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $537,811derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$92.8M77%
- Individuals$21.5M18%
- Charitable organizations$5.3M4.4%
- Pension and profit-sharing plans$341,9480.3%
- Individual clients
- 102reported
- HNW clients
- 25reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 223reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Isaac J Russell | Traverse City, Mi | Dec 26, 2024 | 11 y | 0 |
| Joseph Patrick Batcha III | Traverse City, Mi | Jan 1, 2025 | 42 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Frances Lynn Newton to Cg Advisory ServicesAug 1, 2024 · RIA to RIA
- Thomas Lee Batcha to Jfg Wealth Management, LLCDec 22, 2022 · RIA to RIA
- Paul Richard Moody to Mcdonald Partners LLCDec 1, 2016 · Other
- George Brailsford Wislar to Acuity Wealth Management, LLCAug 28, 2013 · Other
- Gary Bruce Berdoff to Acuity Wealth Management, LLCAug 28, 2013 · Other
- Brian Jay Bewley to Conover Capital ManagementSep 12, 2012 · Other
Joined, latest
- Joseph Patrick Batcha III from Wislar Wealth Management, LLCJan 1, 2025 · Other
- Gary Bruce Berdoff from Morgan StanleyAug 16, 2012 · Other
- Brian Jay Bewley from Generational Wealth Advisors, LLCApr 18, 2012 · Other
- George Brailsford Wislar from Wislar Investment Management, LLCOct 29, 2010 · Other
- Arthur Todd Doglione from Wislar Wealth Management, LLCOct 29, 2010 · Other
- Paul Richard Moody from Putnam Investment Management, LLCApr 21, 2010 · Other
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Optimal Sic 6x9, LLC | Private Equity Fund | $34.1M | 41 | Mar 29, 2019 |
| Optimal Mcap Fund II, LLC | Real Estate Fund | $9.3M | 26 | Mar 30, 2023 |
| Optimal Sm Capital Fund I, LLC | Other Private Fund | $9.1M | 22 | Jun 30, 2021 |
| Optimal Health Advocates Fund | Private Equity Fund | $7.5M | 37 | Mar 28, 2021 |
| Optimal Sic 6x9 Cvt Note LLC | Private Equity Fund | $3.8M | 14 | Mar 27, 2024 |
| Osaas-Vizi, LLC | Private Equity Fund | $3.4M | 34 | Mar 30, 2018 |
| Optimal Sic 6x9 - B3 Pfd, LLC | Private Equity Fund | $2.5M | 20 | Mar 30, 2023 |
| Optimal Access I | Other Private Fund | $1.3M | 17 | Mar 29, 2019 |
| Oha Sp-IV, LLC | Private Equity Fund | $750,589 | 18 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Patrick Joseph Batcha III · Principal/ Chief Compliance Officercontrolsince 04/2006 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Traverse City, Mi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 309 to 223Mar 31, 2025 to Mar 23, 2026
- Private funds · 12 to 13Mar 31, 2025 to Mar 23, 2026
- Discretionary RAUM · $119M to $120MMar 31, 2025 to Mar 23, 2026
- HNW RAUM · $93.9M to $92.8MMar 31, 2025 to Mar 23, 2026
- Individual RAUM · $20.4M to $21.5MMar 31, 2025 to Mar 23, 2026
- Pension RAUM · $311,950 to $341,948Mar 31, 2025 to Mar 23, 2026
- RAUM · $119M to $120MMar 31, 2025 to Mar 23, 2026
- State-registered IARs · 3 to 2Dec 13, 2024 to Mar 31, 2025
- Private funds · 9 to 12Dec 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $117M to $119MDec 13, 2024 to Mar 31, 2025
- HNW RAUM · $89.9M to $93.9MDec 13, 2024 to Mar 31, 2025
- Individual RAUM · $22.0M to $20.4MDec 13, 2024 to Mar 31, 2025
- Pension RAUM · $298,553 to $311,950Dec 13, 2024 to Mar 31, 2025
- RAUM · $117M to $119MDec 13, 2024 to Mar 31, 2025
- Accounts · 317 to 309Dec 13, 2024 to Mar 31, 2025
- Advisory employees · 3 to 2Dec 13, 2024 to Mar 31, 2025
- HNW clients · 24 to 25Dec 13, 2024 to Mar 31, 2025
- Individual clients · 106 to 102Dec 13, 2024 to Mar 31, 2025
- Commission compensation · true to falseDec 13, 2024 to Mar 31, 2025
- Employees · 3 to 2Dec 13, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Dec 13, 2024 to Mar 31, 2025
- Other offices · 1 to 0Mar 27, 2024 to Aug 1, 2024
- Accounts · 307 to 317Dec 14, 2023 to Mar 27, 2024
- Charity clients · unset to 3.0Dec 14, 2023 to Mar 27, 2024
- HNW clients · 26 to 24Dec 14, 2023 to Mar 27, 2024
- Individual clients · 86 to 106Dec 14, 2023 to Mar 27, 2024
- Pension plan clients · unset to 1.0Dec 14, 2023 to Mar 27, 2024
- Private funds · 8 to 9Dec 14, 2023 to Mar 27, 2024
- Discretionary RAUM · $114M to $117MDec 14, 2023 to Mar 27, 2024
- HNW RAUM · $91.4M to $89.9MDec 14, 2023 to Mar 27, 2024
- Individual RAUM · $16.8M to $22.0MDec 14, 2023 to Mar 27, 2024
- Pension RAUM · $314,680 to $298,553Dec 14, 2023 to Mar 27, 2024
- RAUM · $114M to $117MDec 14, 2023 to Mar 27, 2024
- Accounts · 368 to 307Dec 22, 2022 to Mar 30, 2023
- HNW clients · 21 to 26Dec 22, 2022 to Mar 30, 2023
- Individual clients · 67 to 86Dec 22, 2022 to Mar 30, 2023
- Pooled vehicle clients · 6.0 to unsetDec 22, 2022 to Mar 30, 2023
- Financial planning clients · 0 to 1-10Dec 22, 2022 to Mar 30, 2023
- Private funds · 6 to 8Dec 22, 2022 to Mar 30, 2023
- Discretionary RAUM · $112M to $114MDec 22, 2022 to Mar 30, 2023
Signals
3 dated events
- Frances Lynn Newton left Optimal Capital Advisors, Llc for Cg Advisory Services (registered 2024-09-06)Aug 1, 2024 · Advisor changed firm · fact
- Thomas Lee Batcha left Optimal Capital Advisors, Llc for Jfg Wealth Management, Llc (registered 2022-07-27)Dec 22, 2022 · Advisor changed firm · fact
- Optimal Capital Advisors, Llc reported RAUM $148.5M, down 48% from $286.1M (2021-02-18 to 2021-03-28)Mar 28, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Optimal Capital Advisors, LLC · Independent Sponsorsshared crd · capital_provider
- Optimal Capital Advisors, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- erin@optimalcapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jbatcha@optimalcapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 231-933-4677reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/OPTIMAL-CAPITALreportedpublic record, Form ADV, Sep 17, 2026
- Website
- OPTIMALCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 231-933-4677reportedpublic record, Form ADV, Mar 23, 2026
- Team page
- optimalcapital.com/team-member-01/isaac-russell-cfprreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $60.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Optimal Capital Advisors, LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…