OPTIMAL ASSET MANAGEMENT, INC.

https://www.linkedin.com/company/futuresafe-io LOS ALTOS, CA Investment Advisor Hedge Fund How do I update this listing?

Optimal Asset Management is based out of Los Altos. Optimal Asset Management is a hedge fund with 63 clients and discretionary assets under management (AUM) of $981,280,828 (Form ADV from 2021-05-06). Their last reported 13F filing for Q1 2021 included $770,982,000 in managed 13F securities and a top 10 holdings concentration of 11.5%. Optimal Asset Management's largest holding is Walmart Inc with shares held of 79,848. Whalewisdom has at least 6 13F filings The firm last filed a Form D notice of exempt offering of securities on 2015-08-24. The notice included securities offered of Equity

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03/31/2021

13F Activity

  • Market Value $770.982 Million
  • Prior Market Value $704.963 Million
  • New Purchases49 stocks
  • Additional Purchases175 stocks
  • Sold out of97 stocks
  • Reduced holdings in117 stocks
  • Top 10 Holdings % 11.50 %
  • Turnover % [1]:42.20%
  • Turnover Alt % [2]: 23.27 %
  • Time Held Top20:1.85 quarters
  • Time Held Top10:1.70 quarters
  • Time Held All:3.90 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-05-17

Performance for Q1 2021: 0.77%
Performance Last 4 Quarters: 21.07%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

OPTIMAL ASSET MANAGEMENT, INC.
97 E. ST. JAMES STREET SUITE #101
SAN JOSE CA    95112
Country: United States

Business Phone: 650-472-1187
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: DE
Number of employees: 4
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 0
Total Number of Clients: 63
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2015-08-24 D OTHER TECHNOLOGY Equity 3,000,000 2,060,000 940,000
Other Issuers in Filings
Name Address
No Other Issuers
Related Parties included in filings
Name Address Relationship
VIJAY VIADYANATHAN subscription required
    EXECUTIVE OFFICER DIRECTOR

OPTIMAL ASSET MANAGEMENT, INC.

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
VAIDYANATHAN, VIJAY CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER 07/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
OPTIMAL ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2012-06-01
OPTIMAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER direct 2015-07-01

OPTIMAL ASSET MANAGEMENT, INC.

ownership team - last updated 2020-08-06
Name Title Start Date Direct/Indirect % Ownership
Tammana, Krishnamurthy INVESTOR 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, INC. INVESTOR direct 2015-08-01
VAIDYANATHAN, VIJAY CHIEF EXECUTIVE OFFICER 07/01/2015 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
OPTIMAL ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2012-06-01
OPTIMAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER direct 2015-07-01
JOSHI, HIMANSHU, MONTY INVESTOR 07/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-07-01
GAIA HOLDINGS LIMITED INVESTOR 08/01/2015 Direct less than 5%
Bharadhwaj, Gannesh INVESTOR 08/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, INC. INVESTOR direct 2015-08-01
Aquino, Armand CHIEF COMPLIANCE OFFICER 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2019-12-01
Rajkumar, Raj OWNER GAIA HOLDINGS LIMITED 08/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, INC. OWNER indirect 1999-08-01

OPTIMAL ASSET MANAGEMENT, INC.

ownership team - last updated 2020-06-03
Name Title Start Date Direct/Indirect % Ownership
VAIDYANATHAN, VIJAY CHIEF EXECUTIVE OFFICER 07/01/2015 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
OPTIMAL ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2012-06-01
OPTIMAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER direct 2015-07-01
JOSHI, HIMANSHU, MONTY INVESTOR 07/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-07-01
Tammana, Krishnamurthy INVESTOR 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, INC. INVESTOR direct 2015-08-01
GAIA HOLDINGS LIMITED INVESTOR 08/01/2015 Direct less than 5%
Bharadhwaj, Gannesh INVESTOR 08/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, INC. INVESTOR direct 2015-08-01
Aquino, Armand CHIEF COMPLIANCE OFFICER 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2019-12-01
Rajkumar, Raj OWNER GAIA HOLDINGS LIMITED 08/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, INC. OWNER indirect 1999-08-01

OPTIMAL ASSET MANAGEMENT, INC.

ownership team - last updated 2020-03-28
Name Title Start Date Direct/Indirect % Ownership

OPTIMAL ASSET MANAGEMENT, INC.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
VAIDYANATHAN, VIJAY CHIEF EXECUTIVE OFFICER 07/01/2015 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-06-01
OPTIMAL ASSET MANAGEMENT, LLC MANAGING MEMBER direct 2012-06-01
OPTIMAL ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER direct 2015-07-01
JOSHI, HIMANSHU, MONTY CHIEF COMPLIANCE OFFICER 07/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2013-07-01
Tammana, Krishnamurthy INVESTOR 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, INC. INVESTOR direct 2015-08-01
GAIA HOLDINGS LIMITED INVESTOR 08/01/2015 Direct less than 5%
Bharadhwaj, Gannesh INVESTOR 08/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, INC. INVESTOR direct 2015-08-01
Rajkumar, Raj OWNER GAIA HOLDINGS LIMITED 08/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
OPTIMAL ASSET MANAGEMENT, INC. OWNER indirect 1999-08-01

OPTIMAL ASSET MANAGEMENT, INC.

ownership team - last updated 2018-01-03
Name Title Start Date Direct/Indirect % Ownership

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