Omega Capital Management LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$3,992,007
This total excludes 2 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
3
100% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
3
Very LowAverage account size
$1,330,669
About
Omega Capital Management LLC is a small, SEC-registered independent advisory firm managing about $3.99 million in discretionary assets as of December 31, 2025, and providing asset management, financial planning, and retirement-plan advisory services. The firm serves high-net-worth individuals, trusts, estates, small businesses and institutional retirement clients, and acts as advisor to two 401(k) programs.
OCM’s investment process relies on a mix of fundamental and technical analysis and employs diversified allocations across equities, fixed income, mutual funds and ETFs with a general emphasis on long-term holdings and tailored portfolios based on client risk tolerance and time horizon. The firm provides discretionary portfolio management with ongoing monitoring and at least annual formal reviews, and charges percentage-of-assets fees; it also requires a $500,000 account/relationship minimum.
What is notable about this solo adviser practice is its formal affiliation with an accounting firm under common ownership and the principal’s separate licensure to sell insurance, arrangements the brochure discloses and for which the firm maintains separate engagement agreements. The firm also provides pension consulting and retirement-plan investment services—an offering that is less common among similarly sized independent advisers—and maintains a very small client base and asset scale relative to many peers.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Wealth management
ESG / Sustainable investing
General tax planning
Occupation focus
Founder/Business Owner
Retired
Fee options
Agreed upon flat rate for financial planning services (specific amount not stated)
Maximum 1.85% annually
Hourly rate for financial planning services (specific rate not stated)
Account minimum: $500,000
Main office location
Omega Capital Management LLC
7775 Walton Pkwy, Suite 100
New Albany OH 43054, United States
Number of offices
1
Most active in
Omega Capital Management LLC has reported serving >5 clients in these states in the last 12 months.
Ohio
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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