OPTIMUM INVESTMENT ADVISORS

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Optimum Investment Advisors is based out of Chicago. Optimum Investment Advisors is a large advisory firm with 372 clients and discretionary assets under management (AUM) of $368,892,721 (Form ADV from 2021-03-16). Their last reported 13F filing for Q2 2021 included $320,615,000 in managed 13F securities and a top 10 holdings concentration of 25.68%. Optimum Investment Advisors's largest holding is Apple Inc with shares held of 183,322. Whalewisdom has at least 91 13F filings, and 3 13G filings

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06/30/2021

13F Activity

  • Market Value $320.615 Million
  • Prior Market Value $341.756 Million
  • New Purchases72 stocks
  • Additional Purchases138 stocks
  • Sold out of90 stocks
  • Reduced holdings in247 stocks
  • Top 10 Holdings % 25.68 %
  • Turnover % [1]:17.69%
  • Turnover Alt % [2]: 2.89 %
  • Time Held Top20:12.50 quarters
  • Time Held Top10:11.90 quarters
  • Time Held All:11.63 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.

06/30/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-08-16

Performance for Q2 2021: 8.8%
Performance Last 4 Quarters: 20.76%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

OPTIMUM INVESTMENT ADVISORS, LLC
33 NORTH LASALLE STREET SUITE 3700
CHICAGO IL    60602
Country: United States

Business Phone: 312-782-1515
Fax: 312-782-9797
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: IL
Number of employees: 9
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 372
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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OPTIMUM INVESTMENT ADVISORS, LLC

ownership team - last updated 2021-03-16
Name Title Start Date Direct/Indirect % Ownership
OPTIMUM INVESTMENT GROUP, LLC MEMBER AND MANAGER 08/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER AND MANAGER direct 2004-08-01
MCCAFFREY, TERRY, MICHAEL CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT AND DIRECTOR direct 2005-04-01
LASALLE FINANCIAL SERVICES, INC. PRESIDENT, CEO, CHAIRMAN direct 2006-03-01
OPTIMUM INVESTMENT ADVISORS, LLC PRESIDENT WEALTH MANAGEMENT direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER indirect 2013-09-01
OPTIMUM INVESTMENT GROUP, LLC MEMBER AND MANAGER 08/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER AND MANAGER direct 2004-08-01
MCCAFFREY, TERRY, MICHAEL CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT AND DIRECTOR direct 2005-04-01
LASALLE FINANCIAL SERVICES, INC. PRESIDENT, CEO, CHAIRMAN direct 2006-03-01
OPTIMUM INVESTMENT ADVISORS, LLC PRESIDENT WEALTH MANAGEMENT direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER indirect 2013-09-01
MCCAFFREY, TERRY, MICHAEL MEMBER OPTIMUM INVESTMENT GROUP, LLC 09/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT AND DIRECTOR direct 2005-04-01
LASALLE FINANCIAL SERVICES, INC. PRESIDENT, CEO, CHAIRMAN direct 2006-03-01
OPTIMUM INVESTMENT ADVISORS, LLC PRESIDENT WEALTH MANAGEMENT direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER indirect 2013-09-01
MCCAFFREY, TERRY, MICHAEL MEMBER OPTIMUM INVESTMENT GROUP, LLC 09/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT AND DIRECTOR direct 2005-04-01
LASALLE FINANCIAL SERVICES, INC. PRESIDENT, CEO, CHAIRMAN direct 2006-03-01
OPTIMUM INVESTMENT ADVISORS, LLC PRESIDENT WEALTH MANAGEMENT direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER indirect 2013-09-01

OPTIMUM INVESTMENT ADVISORS, LLC

ownership team - last updated 2020-05-06
Name Title Start Date Direct/Indirect % Ownership
OPTIMUM INVESTMENT GROUP, LLC MEMBER AND MANAGER 08/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER AND MANAGER direct 2004-08-01
MCCAFFREY, TERRY, MICHAEL CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT AND DIRECTOR direct 2005-04-01
LASALLE FINANCIAL SERVICES, INC. PRESIDENT, CEO, CHAIRMAN direct 2006-03-01
OPTIMUM INVESTMENT ADVISORS, LLC PRESIDENT WEALTH MANAGEMENT direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER indirect 2013-09-01
MCCAFFREY, TERRY, MICHAEL MEMBER OPTIMUM INVESTMENT GROUP, LLC 09/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT AND DIRECTOR direct 2005-04-01
LASALLE FINANCIAL SERVICES, INC. PRESIDENT, CEO, CHAIRMAN direct 2006-03-01
OPTIMUM INVESTMENT ADVISORS, LLC PRESIDENT WEALTH MANAGEMENT direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER indirect 2013-09-01

OPTIMUM INVESTMENT ADVISORS, LLC

ownership team - last updated 2020-03-19
Name Title Start Date Direct/Indirect % Ownership

OPTIMUM INVESTMENT ADVISORS, LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
OPTIMUM INVESTMENT GROUP, LLC MEMBER AND MANAGER 08/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER AND MANAGER direct 2004-08-01
MCCAFFREY, TERRY, MICHAEL CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT AND DIRECTOR direct 2005-04-01
LASALLE FINANCIAL SERVICES, INC. PRESIDENT, CEO, CHAIRMAN direct 2006-03-01
OPTIMUM INVESTMENT ADVISORS, LLC PRESIDENT WEALTH MANAGEMENT direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER indirect 2013-09-01
MCCAFFREY, TERRY, MICHAEL MEMBER OPTIMUM INVESTMENT GROUP, LLC 09/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT AND DIRECTOR direct 2005-04-01
LASALLE FINANCIAL SERVICES, INC. PRESIDENT, CEO, CHAIRMAN direct 2006-03-01
OPTIMUM INVESTMENT ADVISORS, LLC PRESIDENT WEALTH MANAGEMENT direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER indirect 2013-09-01

OPTIMUM INVESTMENT ADVISORS, LLC

ownership team - last updated 2018-04-23
Name Title Start Date Direct/Indirect % Ownership
OPTIMUM INVESTMENT GROUP, LLC MEMBER AND MANAGER 08/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER AND MANAGER direct 2004-08-01
MCCAFFREY, TERRY, MICHAEL CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT AND DIRECTOR direct 2005-04-01
LASALLE FINANCIAL SERVICES, INC. PRESIDENT, CEO, CHAIRMAN direct 2006-03-01
OPTIMUM INVESTMENT ADVISORS, LLC PRESIDENT WEALTH MANAGEMENT direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER indirect 2013-09-01
MCCAFFREY, TERRY, MICHAEL MEMBER OPTIMUM INVESTMENT GROUP, LLC 09/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ABN AMRO FINANCIAL SERVICES, INC. PRESIDENT AND DIRECTOR direct 2005-04-01
LASALLE FINANCIAL SERVICES, INC. PRESIDENT, CEO, CHAIRMAN direct 2006-03-01
OPTIMUM INVESTMENT ADVISORS, LLC PRESIDENT WEALTH MANAGEMENT direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2009-02-01
OPTIMUM INVESTMENT ADVISORS, LLC MEMBER indirect 2013-09-01

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