SourcingSourcing

OPTIMAL TAX ASSET MANAGEMENT, INC.

C31
CRD 340466·SEC 801-135549·BELLEVUE, WA
AUM
$0
<$25M
Est. Revenue
$0
@ 1% on AUM
Est. EBITDA
$0
@ 30% margin
Est. Deal Value
$0
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
OPTIMAL TAX ASSET MANAGEMENT, INC.
CRD
340466
SEC file #
801-135549
EIN
—
DBA names
Optimal Tax Asset Management

Economics

AUM
$0
AUM band
<$25M
AUM trajectory
—
Client mix
—

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
—
Primary office
BELLEVUE WA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Other Advisory Services
Fee basis
% of AUM

Filings

Latest ADV filing
04/13/2026
ADV-W filed at
—
Website
optimaltaxinc.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
COLLINS, AUSTIN, SARVIS
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
COLLINS, AUSTIN, SARVIS
MCCARTHY, LAURA, WOODBRIDGE
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
ok
Rdap Domain
OPTIMALTAXINC.COM
Rdap Domain Creation Date
2026-02-03T23:30:10Z
Rdap Firm Age Years
0
Rdap Firm Age Band
<5y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.6083
Soi Zip Pct 200k Plus
0.3638
Soi Zip Returns 200k Plus
7,320
Soi Zip Total AGI
7,904,029
Fdic Zip Total Deposits
238,635,188,000
Fdic Zip Branch Count
1,098
Fdic Zip Top Banks
KeyBank National Association
Bank of America, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

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
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Fdic Zip Branches Raw
Key Bank of WashingtonBellevue, WA
Key Bank of WashingtonBellevue, WA
Fdic Zip HHI
913.99
Fdic Zip Top Bank Share Pct
17.79
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2031-02-03T23:30:10Z
Rdap Domain Last Changed
2026-02-03T23:46:54Z
Rdap Nameservers
Ns29.domaincontrol.comNs30.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI28,770
Returns2,700
Stub 2
AGI70,449
Returns1,890
Stub 3
AGI110,058
Returns1,770
Soi Zip Total Business Income
72,899
Soi Zip Total Cap Gains
1,414,294
Soi Zip Total Dividends
513,813
Soi Zip Total Returns
20,120
Top Owner CRD
5023425
Trust Company Affiliate
No

People (3)

3
COLLINS, AUSTIN, SARVIS
Direct Owner · 62.5%
5023425
MCCARTHY, LAURA, WOODBRIDGE
Direct Owner · 17.5%
8027328
ROSSI, ANTHONY, JOSEPH
Direct Owner · 17.5%
6212463