Investment adviser · CRD 165661

OPTIMAL ASSET MANAGEMENT, INC.

Investment adviser filing (IA)

SAN JOSE, CA, United States · Form ADV filed May 6, 2021

Regulatory AUM
$981M
Form ADV · Item 5.F
Client accounts
96
Accounts, not individual clients
Employees
4
Reported in this filing
Advisory professionals
1
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
Retirement plansFewer than 5$951,906,69197.0%
High-net-worth individuals6$16,342,8221.7%
CharitiesFewer than 5$7,032,6090.7%
Individuals53$5,998,7060.6%
Filing source

Form ADV 1539265 · May 6, 2021 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

2 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

PRISM QUANT FUND I, LPHedge Fund · Last reported Aug 21, 2015$5.2MGross asset value

Form D fundraising filings

Prism Quant Fund I, LP

Fund administrator AFFINITY FUND SERVICES, LLC SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PATKE & ASSOCIATES LINCOLNSHIRE, Illinois, United States
Custodian GOLDMAN SACHS EXECUTION & CLEARING CORP. SAN FRANCISCO, California, United States Related to adviser: No
Prime broker MERLIN SECURITIES SAN FRANCISO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Fund details & source
Fund ID
805-1830969746
Reported beneficial owners
1
Minimum commitment
$100K
Form D file number
021-211959

Form ADV 938916 · Aug 21, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PRISM QUANT FUND I, LPPrivate Equity Fund · Last reported Jan 29, 2014$0Gross asset value
Auditor PATKE & ASSOCIATES LINCOLNSHIRE, Illinois, United States
Custodian GOLDMAN SACHS EXECUTION & CLEARING CORP. SAN FRANCISCO, California, United States Related to adviser: No
Prime broker MERLIN SECURITIES SAN FRANCISO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No
Fund details & source
Fund ID
805-2433132624
Reported beneficial owners
0
Minimum commitment
$500K

Form ADV 782498 · Jan 29, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: May 6, 2021. View historical filings

Reported services

Individual portfolio management · Business portfolio management · Pension consulting

Compensation

Percentage of assets · Fixed

Principal office

97 E. ST. JAMES STREET, SUITE #101
SAN JOSE, CA, 95112, United States

CRD 165661

Filing source

Form ADV 1539265 · May 6, 2021 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.