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
Opto Investment Management, LLC
Latest filing Jul 31, 2026
First filing on the tape Mar 19, 2022 · 17 filings
SEC status approved since Aug 17, 2022
RAUM
$929M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$929M
derived; firm RAUM over IAPD count
Employees
14
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
29
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$929M as of Jul 31, 2026
Mar 29, 2023$76.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jul 31, 2026
Mar 29, 20230 then
Employees (5.A)14 as of Jul 31, 2026
Mar 29, 202311 then
Private funds29 as of Jul 31, 2026
Mar 29, 20237 then
RAUM +298% over the last fiscal year+130% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Jul 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $929MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $27.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 14.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +142%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 pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$929M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 34reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brooks Jameson CaselCertified Financial Planner | New York, Ny | Nov 21, 2025 | 13 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Brooks Jameson Casel from Buttonwood Financial Group, LLCNov 21, 2025 · Other
Private funds
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Conway Opportunities Fund 2024, LP | Private Equity Fund | $29.3M | 9 | Jun 10, 2024 |
| Waypoint Private Access Fund L.P. | Private Equity Fund | $25.6M | 60 | Mar 25, 2024 |
| Km Growth Fund I, LP | Private Equity Fund | $22.0M | 6 | Jun 10, 2024 |
| Opto Artificial Intelligence Early Stage Venture Fund LP | Venture Capital Fund | $20.2M | 52 | Jun 10, 2024 |
| Lit Multi Manager Vc Fund, LLC | Venture Capital Fund | $17.9M | 9 | Aug 16, 2022 |
| Csp Diameter Access Fund, LP | Other Private Fund | $16.5M | 45 | Jun 10, 2024 |
| Ofs Private Markets Fund I, LP | Private Equity Fund | $15.7M | 41 | Oct 16, 2024 |
| Lit Hsip V, LLC | Securitized Asset Fund | $13.0M | 7 | Aug 16, 2022 |
| Lit Tacora Capital I LLC | Private Equity Fund | $11.9M | 9 | Aug 16, 2022 |
| Lit Vista Equity Partners Viii, LLC | Private Equity Fund | $10.4M | 10 | Aug 16, 2022 |
| Lit Tre IV, LLC | Real Estate Fund | $9.4M | 2 | Aug 16, 2022 |
| Lit Spt Ix LLC | Private Equity Fund | $8.8M | 4 | Aug 16, 2022 |
| Shorehaven Arcturus Fund I LP | Private Equity Fund | $7.7M | 24 | Jun 10, 2024 |
| Lit Hp Ix, LLC | Private Equity Fund | $7.7M | 6 | Aug 16, 2022 |
Owners and control persons
Schedule A and B, latest filing
- David Matthew Malone · Presidentcontrolsince 03/2021 · owns less than 5%
- Hassanali Saleemah Ahamed · Chief Compliance Officersince 06/2022 · owns less than 5%
- Imber Alexis Rieger · Head Of Legal Of Opto Investments Inc.since 12/2024 · owns less than 5%
Entity owners
- Opto Investments, Inc. · Ownerdirect · owns 75% or more
- 8vc Fund III, L.P. · Shareholderindirect · owns 25% to 50% of Opto Investments, Inc.
Related persons
Schedule D 7.A
- Opto Bedrock Gp 2022, LLCpooled vehicle sponsorn
- Opto Custom Gp 2023, LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 30, 2026private funds (Schedule D 7.B.1) moved from 16.0 to 27.0 (+69.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was 0.0% (490 comparable advisers, 97.0th percentile of changes)peers: asset managers, $500M to $1B (490) · 97% percentile
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $233,590,615 to $565,386,370 (+142.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +8.0% (673 comparable advisers, 97.0th percentile of changes)peers: asset managers, $500M to $1B (673) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 31 to 34Mar 30, 2026 to Jul 31, 2026
- Pooled vehicle clients · 31 to 34Mar 30, 2026 to Jul 31, 2026
- Private funds · 27 to 29Mar 30, 2026 to Jul 31, 2026
- Discretionary RAUM · $384M to $734MMar 30, 2026 to Jul 31, 2026
- Non-discretionary RAUM · $181M to $195MMar 30, 2026 to Jul 31, 2026
- Pooled vehicle RAUM · $565M to $929MMar 30, 2026 to Jul 31, 2026
- RAUM · $565M to $929MMar 30, 2026 to Jul 31, 2026
- Accounts · 22 to 31Sep 12, 2025 to Mar 30, 2026
- Pooled vehicle clients · 22 to 31Sep 12, 2025 to Mar 30, 2026
- Employees · 15 to 14Sep 12, 2025 to Mar 30, 2026
- State-registered IARs · 0 to 1Sep 12, 2025 to Mar 30, 2026
- Private funds · 19 to 27Sep 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $253M to $384MSep 12, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $118M to $181MSep 12, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $371M to $565MSep 12, 2025 to Mar 30, 2026
- RAUM · $371M to $565MSep 12, 2025 to Mar 30, 2026
- Related adviser · true to falseSep 12, 2025 to Mar 30, 2026
- Accounts · 18 to 22Jul 22, 2025 to Sep 12, 2025
- Advisory employees · 5 to 6Jul 22, 2025 to Sep 12, 2025
- Pooled vehicle clients · 18 to 22Jul 22, 2025 to Sep 12, 2025
- Private funds · 16 to 19Jul 22, 2025 to Sep 12, 2025
- Discretionary RAUM · $179M to $253MJul 22, 2025 to Sep 12, 2025
- Non-discretionary RAUM · $54.9M to $118MJul 22, 2025 to Sep 12, 2025
- Pooled vehicle RAUM · $234M to $371MJul 22, 2025 to Sep 12, 2025
- RAUM · $234M to $371MJul 22, 2025 to Sep 12, 2025
- Related adviser · false to trueJul 22, 2025 to Sep 12, 2025
- Financial planning clients · unset to Mar 31, 2025 to Jul 22, 2025
- Accounts · 14 to 18Mar 5, 2025 to Mar 31, 2025
- Advisory employees · 3 to 5Mar 5, 2025 to Mar 31, 2025
- Pooled vehicle clients · 14 to 18Mar 5, 2025 to Mar 31, 2025
- Assets in custody · unset to 0.0Mar 5, 2025 to Mar 31, 2025
- Custody of client assets · false to trueMar 5, 2025 to Mar 31, 2025
- Employees · 12 to 15Mar 5, 2025 to Mar 31, 2025
- Private funds · 14 to 16Mar 5, 2025 to Mar 31, 2025
- Discretionary RAUM · $190M to $179MMar 5, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $25.6M to $54.9MMar 5, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $216M to $234MMar 5, 2025 to Mar 31, 2025
- RAUM · $216M to $234MMar 5, 2025 to Mar 31, 2025
- Business name · LONSDALE INVESTMENT MANAGEMENT, LLC to OPTO INVESTMENT MANAGEMENT, LLCOct 16, 2024 to Oct 18, 2024
- Legal name · LONSDALE INVESTMENT MANAGEMENT, LLC to OPTO INVESTMENT MANAGEMENT, LLCOct 16, 2024 to Oct 18, 2024
Signals
5 dated events
- Opto Investment Management, Llc reported RAUM $928.6M, up 64% from $565.4M (2026-03-30 to 2026-07-31)Jul 31, 2026 · RAUM change · derived
- Opto Investment Management, Llc reported RAUM $565.4M, up 52% from $371.0M (2025-09-12 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Opto Investment Management, Llc reported RAUM $371.0M, up 59% from $233.6M (2025-07-22 to 2025-09-12)Sep 12, 2025 · RAUM change · derived
- (Nmn) Kamal Jafarnia (Executive Vice President And General Counsel) no longer on Schedule A of Opto Investment Management, Llc (listed 2024-10-18, absent 2024-12-06)Dec 6, 2024 · Control person left · inference
- Lonsdale Investment Management, Llc filed its initial SEC registration (Form ADV)Mar 19, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Opto Investment Management, LLC · Independent Sponsorsshared crd · capital_provider
- Opto Investment Management, LLC · Private Equityshared crd · organization
- Opto Investment Management, LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/optoinvestreportedpublic record, Form ADV, Sep 17, 2026
- Website
- optoinvest.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-658-0382reportedpublic record, Form ADV, Jul 31, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $929Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Opto Investment Management, 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.
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