Opes Capital Group, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$5,000,000
Clients
7
43% high-net worth
Advisors
1
of 2 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
7
Very LowAverage account size
$714,286
About
Opes Capital Group, LLC provides investment advisory and financial consulting primarily to individuals and high‑net‑worth individuals. The firm offers portfolio management and guidance on selecting other advisers, building balanced portfolios that can include both traditional securities and non‑traditional instruments.
The brochure describes Opes Capital as delivering initial and ongoing advisory services generally on a discretionary basis while also reporting a non‑discretionary component; it lists $9,850,000 in discretionary and $1,800,000 in non‑discretionary assets as of March 28, 2016. Investment decisions are informed by charting, fundamental, technical and cyclical analysis, with an emphasis on diversification and the use of tools such as equity index options, commodities, REITs and insurance products.
Noteworthy differences from many peers include disclosed disciplinary settlements involving the firm’s principals with FINRA, including suspensions and fines, which are documented in the brochure. The firm also previously registered as a Commodity Trading Advisor and NFA member and later withdrew those registrations, reports spending a notable portion of its time on non‑advisory business activities, and states an intent to limit the number of investors it serves.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Real estate investing
Fee options
1% to 6% annually (negotiable)
Account minimum: $100,000
Main office location
Opes Capital Group, LLC
1530 East 25 Th Street
Los Angeles CA 90011, United States
Number of offices
1
Most active in
Opes Capital Group, LLC has reported serving >5 clients in these states in the last 12 months.
California
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 not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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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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