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OPTIMIZE FINANCIAL INC.
CRD 315963File 801-122500
APPROVED
Retail clients
Filing as of Jun 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$221.7M
Below cohort median (national)
Discretionary AUM
$221.7M
Clients
100
100 accounts
Employees
8
Bottom 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Oct 14, 2021
- Principal office
- 100 SPECTRUM CTR DR, STE 300, IRVINE, CA, 92618
- Phone
- 949-471-0000
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $221.7M
- Discretionary AUM
- $221.7M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 100
- Non-discretionary accounts
- 0
- Total accounts
- 100
- AUM per client
- $2.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 1 | $200.2M |
| High net worth individuals | 54 | $20.5M |
| Individuals (other than high net worth individuals) | 45 | $1.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for investment companies
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 7 | 8 | increased by1 |
| Apr 1, 2026 | Clients | 99 | 100 | increased by1 |
| Apr 1, 2026 | AUM | $185,095,695 | $221,735,704 | increased by$36,640,009 |
| Apr 1, 2026 | Accounts | 99 | 100 | increased by1 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 105 | 99 | decreased by6 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $176,490,542 | $185,095,695 | increased by$8,605,153 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 105 | 99 | decreased by6 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 8 | 7 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Custody | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 111 | 105 | decreased by6 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $100,579,312 | $176,490,542 | increased by$75,911,230 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 451 | 105 | decreased by346 |
| Mar 1, 2022 | Registration | APPROVED-120 | APPROVED | |
| Mar 1, 2022 | AUM | $79,927,140 | $100,579,312 | increased by$20,652,172 |
| Feb 1, 2022 | Employees | 4 | 8 | increased by4 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “OPTIMIZE FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“OPTIMIZE FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.