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OPTIMAL CAPITAL ADVISORS, LLC

A74
CRD 144719·SEC 801-68219·TRAVERSE CITY, MI
AUM
$119.9M
$100M-$500M
Est. Revenue
$1.2M
@ 1% on AUM
Est. EBITDA
$360K
@ 30% margin
Est. Deal Value
$2.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
OPTIMAL CAPITAL ADVISORS, LLC
CRD
144719
SEC file #
801-68219
EIN
873299855
DBA names
—

Economics

AUM
$119.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$345.9M → $119.9M▼ -65%
Client mix
Individuals Other102
Individuals High Net Worth25
Charitable Organizations3
Pension Profit Sharing Plans1

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
4 advisors → 2 advisors▼ -50%
Primary office
TRAVERSE CITY MI
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMHourly chargesFixed feesPerformance-based fees

Filings

Latest ADV filing
03/23/2026
ADV-W filed at
—
Website
linkedin.com/company/optimal-capital(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BATCHA III, JOSEPH, PATRICK
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
BATCHA III, JOSEPH, PATRICK
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:optimal.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001996206
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2023-10-24
Edgar Last Filing Date
2023-10-24
Edgar Form D Count
1
Edgar Form D Offerings
2023-10-242023-10-24 · 0001996206-23-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Fidelity4
E*trade4
Edgar Addresses
Mailing
12935 SW BAYSHORE DR, SUITE 305TRAVERSE CITY, MI 49684
Business
12935 SW BAYSHORE DR, SUITE 305TRAVERSE CITY, MI 49684
Edgar EIN
873299855
Edgar Recent Filings
D2023-10-24 · 0001996206-23-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
1286067
Trust Company Affiliate
No

People (2)

2
BATCHA III, JOSEPH, PATRICK
IAR · Direct Owner · 62.5%
1286067
Isaac J Russell
IAR
7067225