SourcingSourcing

OPTO INVESTMENT MANAGEMENT, LLC

C17
CRD 316847·SEC 801-123757·NEW YORK, NY
AUM
$565.4M
$500M-$1B
Est. Revenue
$5.7M
@ 1% on AUM
Est. EBITDA
$1.7M
@ 30% margin
Est. Deal Value
$13.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
OPTO INVESTMENT MANAGEMENT, LLC
CRD
316847
SEC file #
801-123757
EIN
000000000
DBA names
—

Economics

AUM
$565.4M
AUM band
$500M-$1B
AUM trajectory
'23'26
$77.0M → $565.4M▲ +634%
Client mix
Pooled Investment Vehicles31

Operations

Employees (total)
14
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'23'26
3 advisors → 6 advisors▲ +100%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — pooled vehiclesSelection of other advisers
Fee basis
% of AUMFixed feesPerformance-based fees

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
twitter.com/optoinvest(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
OPTO INVESTMENTS, INC.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
4
Control Persons
OPTO INVESTMENTS, INC.
MALONE, MATTHEW, David
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:opto.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002077614
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2025-07-22
Edgar Last Filing Date
2025-07-22
Edgar Form D Count
1
Edgar Form D Offerings
2025-07-222025-07-22 · 0002077614-25-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

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
1
Bc Firm IAR Count
1
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
90 PARK AVENUE14TH FLOORNEW YORK, NY 10016
Business
31 WEST 27TH STREETSUITE 3300NEW YORK, NY 10001
Edgar EIN
000000000
Edgar Recent Filings
D2025-07-22 · 0002077614-25-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (4)

4
MATTHEW David MALONE
Executive Officer · 2.5%
7329805
AHAMED, SALEEMAH, HASSANALI
Executive Officer · 2.5%
5819935
RIEGER, ALEXIS, IMBER
Executive Officer · 2.5%
4569198
Brooks Jameson Casel
IAR
7481473