SourcingSourcing

OPAL CAPITAL LLC

C30
CRD 322755·SEC 801-126398·BOCA RATON, FL
AUM
$348.3M
$100M-$500M
Est. Revenue
$3.5M
@ 1% on AUM
Est. EBITDA
$1.0M
@ 30% margin
Est. Deal Value
$8.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
OPAL CAPITAL LLC
CRD
322755
SEC file #
801-126398
EIN
981532649
DBA names
—

Economics

AUM
$348.3M
AUM band
$100M-$500M
AUM trajectory
'23'26
$68.4M → $348.3M▲ +409%
Client mix
Investment Companies4
Individuals High Net Worth2

Operations

Employees (total)
11
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'23'26
1 advisors → 6 advisors▲ +500%
Primary office
BOCA RATON FL
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
youtube.com/channel/uc4akjboiqzmisbfb_l2c1aw

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
GRAFF CAPITAL MANAGEMENT, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
GRAFF CAPITAL MANAGEMENT, LLC
POLEN CAPITAL MANAGEMENT, LLC
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:opal.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001809698
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2020-04-21
Edgar Last Filing Date
2020-04-21
Edgar Form D Count
1
Edgar Form D Offerings
2020-04-212020-04-21 · 0001809698-20-000001

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
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
C/O WALKERS CORPORATE LIMITED27 HOSPITAL RD, GEORGE TOWNGRAND CAYMAN, E9, KY1-9008
Business
C/O WALKERS CORPORATE LIMITED27 HOSPITAL RD, GEORGE TOWNGRAND CAYMAN, E9, KY1-9008
Edgar EIN
981532649
Edgar Recent Filings
D2020-04-21 · 0001809698-20-000001
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
No

People (8)

8
POLEN CAPITAL MANAGEMENT, LLC
Direct Owner · 17.5%
106093
GRAFF, AUSTIN, MERLE
IAR · Executive Officer · 2.5%
5194678
SADZEWICZ, GERY, JOSEPH
Executive Officer · 2.5%
1090963
WAYNE ANTHONY WICKER
Executive Officer · 2.5%
2031374
YANG LIU
IAR
6126075
MANAV JAYPRAKASH SHAH
IAR
8003687
LAUREN M HARMON
IAR
5536925
Alan Graff
IAR
7078067