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
Optima Asset Management LP
Latest filing Aug 24, 2026
First filing on the tape Nov 21, 2018 · 35 filings
SEC status approved since May 10, 2019
RAUM
$892M
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
16%
$143M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
14 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
12
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$892M as of Aug 24, 2026
Mar 26, 2020$916M then
HNW client RAUM$143M as of Aug 24, 2026
Mar 26, 2020$57.1M then
State-registered IARs (5.B.3)0 as of Aug 24, 2026
Mar 26, 20200 then
Employees (5.A)22 as of Aug 24, 2026
Mar 26, 202021 then
Private funds12 as of Aug 24, 2026
Mar 26, 202015 then
RAUM +10% over the last fiscal year-2.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 24, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $28.6MderivedHNW RAUM over HNW clients
- Average account
- $27.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 69%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- Pooled investment vehicles$674M76%
- High-net-worth individuals$143M16%
- Investment companies$37.9M4.3%
- Charitable organizations$18.7M2.1%
- Corporations and businesses$17.5M2.0%
- Individual clients
- n/areported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 32reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.16 fund_share=0.8 institutional_share=0.02 related_bd=false related_bank=true bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
19 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| The Optima Global Trading Fund LLC | Hedge Fund | $205M | 99 | Mar 28, 2012 |
| The Optima Global Trading Fund Limited | Hedge Fund | $116M | 23 | Mar 29, 2012 |
| The Optima Fund LP | Hedge Fund | $74.7M | 56 | Mar 28, 2012 |
| Optima Healthcare And Biotech Fund LLC | Hedge Fund | $56.3M | 89 | Mar 26, 2020 |
| Optima Masters Fund LLC | Hedge Fund | $39.6M | 68 | Mar 22, 2023 |
| Optima Star Long Fund | Other Private Fund | $34.8M | 26 | Mar 29, 2017 |
| The Blue Chip Opportunity Fund LLC | Other Private Fund | $33.3M | 24 | Mar 28, 2012 |
| Optima Partners Focus Special Investments LLC | Hedge Fund | $22.0M | 78 | Mar 20, 2024 |
| The Optima Partners Focus Fund LLC | Hedge Fund | $17.0M | 27 | Mar 28, 2012 |
| The Optima Partners Global Fund LLC | Hedge Fund | $16.6M | 89 | Mar 28, 2012 |
| The Optima Fund Limited | Hedge Fund | $16.0M | 8 | Mar 29, 2012 |
| Optima Lloyd George Asia Fund | Hedge Fund | $14.3M | 13 | Jul 10, 2019 |
| The Optima Multi-Sector Fund LPno longer reported | Hedge Fund | $12.6M | 22 | Mar 28, 2012 |
| Optima Healthcare And Biotech Fund Limited | Hedge Fund | $12.1M | 17 | Mar 26, 2020 |
| Optima Masters Fund Limited | Hedge Fund | $8.7M | 10 | Mar 22, 2023 |
| Optima Fund Special Investments LLC | Hedge Fund | $8.3M | 58 | Mar 20, 2024 |
| The Optima Partners Focus Fund Class A | Hedge Fund | $4.2M | 7 | Mar 29, 2012 |
| Optima Star Fundno longer reported | Hedge Fund | $3.6M | 5 | Mar 29, 2017 |
| The Optima Partners Global Fund | Hedge Fund | $2.1M | 8 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Mitchell Keith Bloomfield · Chief Executive Officercontrolsince 10/2019 · owns less than 5%
- Ragnar William Gearhart · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- Emile Daniel Pinto · Controllercontrolsince 04/2018 · owns 50% to 75% of Stanhope Capital Group Sa
- Manfred Geoffrey Lewis · Chief Financial Officersince 07/2019 · owns less than 5%
- Marc Peter Ortiz · Chief Operating Officersince 07/2023 · owns less than 5%
Entity owners
- Fwm Holdings, Inc · Managing Memberdirect · owns 75% or more
- Stanhope Capital (Switzerland) Sa · Memberindirect · owns 75% or more of Fwm Holdings, Inc
- Stanhope Capital Group Sa · Shareholderindirect · owns 75% or more of Stanhope Capital (Switzerland) Sa
Related persons
Schedule D 7.A
- Corient Shc Wealth Management (US) LPinvestment advisernRAUM $2.3B
- Lgl Partners, LLCinvestment advisernRAUM $1.0B
- Optima Managers Gp Mm LLCpooled vehicle sponsorn
- Optima Managers LLCpooled vehicle sponsorn
- Stanhope Capital, Llpinvestment adviserbankpooled vehicle sponsornRAUM $16B
Advisers that list Optima Asset Management LP as a related person
Offices
Schedule D 1.F, the 25 largest
- Philadelphia, PA1 employees
What changed
consecutive filings, newest first
- Business name · OPTIMA ASSET MANAGEMENT LLC to OPTIMA ASSET MANAGEMENT LPMar 27, 2026 to Jul 13, 2026
- Legal name · OPTIMA ASSET MANAGEMENT LLC to OPTIMA ASSET MANAGEMENT LPMar 27, 2026 to Jul 13, 2026
- Organization form · Limited Liability Company to Limited PartnershipMar 27, 2026 to Jul 13, 2026
- Accounts · 30 to 32Mar 31, 2025 to Mar 27, 2026
- BD registered reps · 2 to 1Mar 31, 2025 to Mar 27, 2026
- Pooled vehicle clients · 21 to 24Mar 31, 2025 to Mar 27, 2026
- Employees · 30 to 22Mar 31, 2025 to Mar 27, 2026
- Insurance-licensed employees · 1 to 0Mar 31, 2025 to Mar 27, 2026
- Private funds · 11 to 12Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $486M to $614MMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $183M to $143MMar 31, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $321M to $278MMar 31, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $539M to $674MMar 31, 2025 to Mar 27, 2026
- RAUM · $807M to $892MMar 31, 2025 to Mar 27, 2026
- Advisory employees · 10 to 14Apr 4, 2024 to Mar 31, 2025
- BD registered reps · 0 to 2Apr 4, 2024 to Mar 31, 2025
- Charity clients · 1.0 to unsetApr 4, 2024 to Mar 31, 2025
- Corporate clients · 3.0 to unsetApr 4, 2024 to Mar 31, 2025
- Individual clients · 0.0 to unsetApr 4, 2024 to Mar 31, 2025
- Pension plan clients · 0.0 to unsetApr 4, 2024 to Mar 31, 2025
- Pooled vehicle clients · 20 to 21Apr 4, 2024 to Mar 31, 2025
- Employees · 20 to 30Apr 4, 2024 to Mar 31, 2025
- Insurance-licensed employees · 0 to 1Apr 4, 2024 to Mar 31, 2025
- Financial planning clients · unset to Apr 4, 2024 to Mar 31, 2025
- Other offices · 1 to 2Apr 4, 2024 to Mar 31, 2025
- Private funds · 17 to 11Apr 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $488M to $486MApr 4, 2024 to Mar 31, 2025
- HNW RAUM · $160M to $183MApr 4, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $325M to $321MApr 4, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $568M to $539MApr 4, 2024 to Mar 31, 2025
- RAUM · $813M to $807MApr 4, 2024 to Mar 31, 2025
- Accounts · 24 to 30Jul 18, 2023 to Mar 20, 2024
- Advisory employees · 11 to 10Jul 18, 2023 to Mar 20, 2024
- BD registered reps · 1 to 0Jul 18, 2023 to Mar 20, 2024
- HNW clients · 3 to 5Jul 18, 2023 to Mar 20, 2024
- Pooled vehicle clients · 16 to 20Jul 18, 2023 to Mar 20, 2024
- Employees · 22 to 20Jul 18, 2023 to Mar 20, 2024
- Private funds · 15 to 17Jul 18, 2023 to Mar 20, 2024
- Discretionary RAUM · $682M to $488MJul 18, 2023 to Mar 20, 2024
- HNW RAUM · $76.1M to $160MJul 18, 2023 to Mar 20, 2024
Signals
6 dated events
- Dixon Dennie Boardman (Chief Executive Officer) no longer on Schedule A of Optima Asset Management Lp (listed 2023-07-18, absent 2024-03-20)Mar 20, 2024 · Control person left · inference
- Mitchell Keith Bloomfield (Chief Executive Officer) appeared on Schedule A of Optima Asset Management LpMar 20, 2024 · Control person joined · fact
- Emile Daniel Pinto (Controller) appeared on Schedule A of Optima Asset Management LpApr 15, 2021 · Control person joined · fact
- Dixon Dennie Boardman (Chief Executive Officer) appeared on Schedule A of Optima Asset Management LpSep 23, 2019 · Control person joined · fact
- Mitchell Keith Bloomfield (Chief Executive Officer) no longer on Schedule A of Optima Asset Management Lp (listed 2019-07-10, absent 2019-09-23)Sep 23, 2019 · Control person left · inference
- Fwm Acquisition Llc filed its initial SEC registration (Form ADV)Nov 21, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- optima.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-484-3000reportedpublic record, Form ADV, Aug 24, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026