Top Institutional Investors

OPTIMUM INVESTMENT ADVISORS — 13F Holdings & Portfolio

CIK 1037763 · latest 13F-HR filed 2025-10-21

Backtest portfolio

OPTIMUM INVESTMENT ADVISORS manages $252.1M in 13F-reported U.S. long-equity assets across 613 reported positions as of its 2025-09-30 13F-HR filing. Its largest disclosed positions are AAPL (8.64%), NVDA (6.21%), SPY (6.12%). Quarter over quarter (versus its 2025-06-30 filing) the fund opened 17 new positions and exited 18; 297 existing positions rose in reported value and 123 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$252.1M

Long-equity book

Holdings
613

Distinct positions

Period
2025-09-30

Filed 2025-10-21

Q/Q Activity
+17 / −18 / ↑297 / ↓123

vs 2025-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 25
AAPL8.6% · -1%NVDA6.2% · -4%SPY6.1% · +1%MSFT3.3% · -1%VGT2.8% · -4%GOOG2.2% · -1%COST2.1% · 0%META1.9% · 0%AVGO1.8% · 0%AMZN1.7% · +2%ORCL1.6% · -1%GLD1.6% · +8%MUNI1.6% · 0%JPM1.5% · -2%ABBV1.2% · 0%WMT1.1% · 0%MA1.1% · 0%BBVA1.1% · 0%FIX1.0% · +3%UNH1.0% · -1%RTX0.8% · -0%BRK.B0.8% · -2%GEV0.8% · +0%GOOGL0.8% · +1%IWM0.8% · -7%GS0.8% · -3%CAT0.8% · -0%CSCO0.7% · 0%DGRO0.7% · -1%GGN0.6% · +8%GILD0.6% · 0%LMT0.6% · 0%QCOM0.6% · -0%TLT0.6% · 0%PWR0.5% · -6%HACK0.5% · -1%NVMI0.5% · -5%LRCX0.5% · 0%NML0.5% · +2%DHI0.5% · 0%V0.5% · -6%EPD0.4% · 0%MCK0.4% · 0%PHYS0.4% · 0%MCD0.4% · 0%NFLX0.4% · 0%RSP0.4% · -4%ITW0.4% · 0%SHW0.4% · -2%ICE0.4% · -1%DE0.4% · +2%VEA0.4% · +4%AMD0.4% · +0%UNP0.4% · -0%IWR0.4% · -5%UPS0.4% · -5%DIS0.4% · 0%XOM0.4% · -6%QQQ0.3% · -3%CB0.3% · 0%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 25 → Q3 25

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

2 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 36.9%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Mar 24, 2025.

Assets Under Management
$321.8M
Discretionary
$293.4M
Employees
5
Accounts
426
Address
20 S. CLARK STREET
SUITE 2130
CHICAGO, IL 60603
Phone
(312) 782-1515
Website
Name Title / Status Ownership Type
MCCAFFREY, TERRY, MICHAEL ControlCHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER
since Feb 2009
Less than 5%Individual
OPTIMUM INVESTMENT GROUP, LLC ControlMEMBER AND MANAGER
since Aug 2004
75% or moreDomestic Entity
MCCAFFREY, TERRY, MICHAEL Control
Indirect owner via OPTIMUM INVESTMENT GROUP, LLC
MEMBER
since Sep 2013
75% or moreIndividual
Ownership & leadership changes · 3 filings with changes since Mar 29, 2012

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Apr 16, 2014 filing
  • No longer listedGOODWIN, ANDREW, JACKSON · CHIEF COMPLIANCE OFFICER AND VICE-CHAIRMAN · Less than 5% · control person · listed since Nov 1989
  • ChangedMCCAFFREY, TERRY, MICHAEL · title CHAIRMAN AND CHIEF EXECUTIVE OFFICER → CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER
Oct 18, 2013 filing
  • ChangedGOODWIN, ANDREW, JACKSON · title CHAIRMAN AND CHIEF COMPLIANCE OFFICER → CHIEF COMPLIANCE OFFICER AND VICE-CHAIRMAN
  • ChangedMCCAFFREY, TERRY, MICHAEL · title PRESIDENT WEALTH MANAGEMENT → CHAIRMAN AND CHIEF EXECUTIVE OFFICER
Sep 20, 2013 filing
  • No longer listedBOKHOF, H., STEEL · VICE CHAIRMAN · Less than 5% · control person · listed since Nov 1989
  • No longer listedBOKHOF, H., STEEL · MEMBER · 25–50% · indirect via OPTIMUM INVESTMENT GROUP LLC · control person · listed since Aug 2004
  • No longer listedGOODWIN, ANDREW, JACKSON · MEMBER · 25–50% · indirect via OPTIMUM INVESTMENT GROUP LLC · control person · listed since Aug 2004
  • No longer listedPINSONEAULT, KEITH, FRANCIS · PRESIDENT · Less than 5% · control person · listed since Jul 2000
  • No longer listedPINSONEAULT, KEITH, FRANCIS · MEMBER · 25–50% · indirect via OPTIMUM INVESTMENT GROUP LLC · control person · listed since Aug 2004
  • No longer listedWEALTHTRUST, INC. · MEMBER · 10–25% · listed since Aug 2004
  • No longer listedWINKLE, MICHAEL, ALLEN · STRATEGIST · Less than 5% · listed since Feb 2009
  • AddedMCCAFFREY, TERRY, MICHAEL · MEMBER · 75% or more · indirect via OPTIMUM INVESTMENT GROUP, LLC · control person
Mar 29, 2012 filing (earliest on record)
  • ListedBOKHOF, H., STEEL · VICE CHAIRMAN · Less than 5% · control person
  • ListedBOKHOF, H., STEEL · MEMBER · 25–50% · indirect via OPTIMUM INVESTMENT GROUP LLC · control person
  • ListedGOODWIN, ANDREW, JACKSON · CHAIRMAN AND CHIEF COMPLIANCE OFFICER · Less than 5% · control person
  • ListedGOODWIN, ANDREW, JACKSON · MEMBER · 25–50% · indirect via OPTIMUM INVESTMENT GROUP LLC · control person
  • ListedMCCAFFREY, TERRY, MICHAEL · PRESIDENT WEALTH MANAGEMENT · Less than 5% · control person
  • ListedOPTIMUM INVESTMENT GROUP, LLC · MEMBER AND MANAGER · 75% or more · control person
  • ListedPINSONEAULT, KEITH, FRANCIS · PRESIDENT · Less than 5% · control person
  • ListedPINSONEAULT, KEITH, FRANCIS · MEMBER · 25–50% · indirect via OPTIMUM INVESTMENT GROUP LLC · control person
  • ListedWEALTHTRUST, INC. · MEMBER · 10–25%
  • ListedWINKLE, MICHAEL, ALLEN · STRATEGIST · Less than 5%

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Top Adds (vs prior quarter)

Show all 297 →

Top Trims

Show all 123 →

New Positions

Show all 17 →

Exited Positions

Show all 18 →

OPTIMUM INVESTMENT ADVISORS Holdings (2025-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 APPLE INC AAPL 037833100 $21.8M 8.64% 85,515 SH
2 NVIDIA CORPORATION NVDA 67066G104 $15.6M 6.21% 83,830 SH
3 SPDR S&P 500 ETF TR SPY 78462F103 $15.4M 6.12% 23,146 SH
4 MICROSOFT CORP MSFT 594918104 $8.4M 3.34% 16,248 SH
5 VANGUARD WORLD FD VGT 92204A702 $7.0M 2.79% 9,427 SH
6 ALPHABET INC GOOG 02079K107 $5.7M 2.24% 23,228 SH
7 COSTCO WHSL CORP NEW COST 22160K105 $5.4M 2.14% 5,828 SH
8 META PLATFORMS INC META 30303M102 $4.8M 1.91% 6,557 SH
9 BROADCOM INC AVGO 11135F101 $4.5M 1.80% 13,743 SH
10 AMAZON COM INC AMZN 023135106 $4.2M 1.66% 19,113 SH
11 ORACLE CORP ORCL 68389X105 $4.1M 1.61% 14,443 SH
12 SPDR GOLD TR GLD 78463V107 $4.1M 1.61% 11,421 SH
13 PIMCO ETF TR MUNI 72201R866 $3.9M 1.56% 75,223 SH
14 JPMORGAN CHASE & CO. JPM 46625H100 $3.8M 1.49% 11,946 SH
15 ABBVIE INC ABBV 00287Y109 $3.1M 1.22% 13,277 SH
16 WALMART INC WMT 931142103 $2.8M 1.11% 27,246 SH
17 MASTERCARD INCORPORATED MA 57636Q104 $2.7M 1.08% 4,765 SH
18 BANCO BILBAO VIZCAYA ARGENTA BBVA 05946K101 $2.6M 1.05% 137,603 SH
19 COMFORT SYS USA INC FIX 199908104 $2.5M 1.01% 3,088 SH
20 UNITEDHEALTH GROUP INC UNH 91324P102 $2.5M 0.98% 7,185 SH
21 RTX CORPORATION RTX 75513E101 $2.1M 0.84% 12,691 SH
22 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $2.1M 0.81% 4,085 SH
23 GE VERNOVA INC GEV 36828A101 $2.0M 0.79% 3,237 SH
24 ALPHABET INC GOOGL 02079K305 $2.0M 0.78% 8,135 SH
25 ISHARES TR IWM 464287655 $2.0M 0.77% 8,071 SH
26 GOLDMAN SACHS GROUP INC GS 38141G104 $1.9M 0.77% 2,445 SH
27 CATERPILLAR INC CAT 149123101 $1.9M 0.76% 4,021 SH
28 CISCO SYS INC CSCO 17275R102 $1.8M 0.70% 25,821 SH
29 ISHARES TR DGRO 46434V621 $1.7M 0.66% 24,600 SH
30 GAMCO GLOBAL GOLD NAT RES & GGN 36465A109 $1.6M 0.62% 304,374 SH
31 GILEAD SCIENCES INC GILD 375558103 $1.6M 0.62% 14,120 SH
32 LOCKHEED MARTIN CORP LMT 539830109 $1.5M 0.60% 3,017 SH
33 QUALCOMM INC QCOM 747525103 $1.5M 0.60% 9,026 SH
34 ISHARES TR TLT 464287432 $1.4M 0.55% 15,600 SH
35 QUANTA SVCS INC PWR 74762E102 $1.4M 0.55% 3,336 SH
36 AMPLIFY ETF TR HACK 032108664 $1.3M 0.53% 15,347 SH
37 NOVA LTD NVMI M7516K103 $1.3M 0.52% 4,100 SH
38 LAM RESEARCH CORP LRCX 512807306 $1.3M 0.52% 9,700 SH
39 NEUBERGER BERMAN ENERGY INFR NML 64129H104 $1.3M 0.50% 143,910 SH
40 D R HORTON INC DHI 23331A109 $1.2M 0.49% 7,330 SH
41 VISA INC V 92826C839 $1.1M 0.46% 3,360 SH
42 ENTERPRISE PRODS PARTNERS L EPD 293792107 $1.1M 0.43% 34,846 SH
43 MCKESSON CORP MCK 58155Q103 $1.1M 0.43% 1,400 SH
44 SPROTT ASSET MANAGEMENT LP PHYS 85207H104 $1.1M 0.42% 35,700 SH
45 MCDONALDS CORP MCD 580135101 $1.1M 0.42% 3,473 SH
46 NETFLIX INC NFLX 64110L106 $1.1M 0.42% 876 SH
47 INVESCO EXCHANGE TRADED FD T RSP 46137V357 $1.0M 0.41% 5,490 SH
48 ILLINOIS TOOL WKS INC ITW 452308109 $1.0M 0.40% 3,850 SH
49 SHERWIN WILLIAMS CO SHW 824348106 $997.2K 0.40% 2,880 SH
50 INTERCONTINENTAL EXCHANGE IN ICE 45866F104 $989.7K 0.39% 5,874 SH
Filing History
Period Filed AUM Holdings Accession
2025-09-30 2025-10-21 $252.1M 613 0001580642-25-006637
2025-06-30 2025-07-31 $230.3M 614 0001580642-25-004652