Optcapital
Optcapital (OPTCAPITAL LLC) is a privately held Charlotte, North Carolina-based financial services firm specializing in deferred and incentive compensation, raising capital through SEC Rule 506(b) exempt securities offerings from US and international investors.
- Company typePrivate
- Founded1998
- HeadquartersCharlotte, United States
- Headcount11–50
- GTM typeB2B
- OfferingServices
What Optcapital does
Optcapital (OPTCAPITAL LLC) is a privately held financial services firm headquartered in Charlotte, North Carolina, specializing in deferred and incentive compensation. Founded in 1998, the company operates with a small team of 11-50 employees and conducts its primary business through exempt securities offerings under SEC Rule 506(b), a private placement framework that allows companies to raise capital without registering securities with the SEC.
The firm's core activity involves raising capital through private placements of debt and equity interests. SEC Form D filings disclose approximately $1.32 billion in total sales across its securities offerings, with the most recent major offering dated June 2022. The offerings are conducted nationwide and include non-US investors, indicating an international investor base. The company's regulatory filings indicate minimal use of proceeds, primarily directed toward executive payments, suggesting an asset-light operating model.
Revenue is generated through transaction fees associated with the exempt securities offerings, though specific fee structures and pricing are not publicly disclosed. The company does not maintain a traditional product or subscription pricing model, operating instead within the regulatory confines of private placements. Its small headcount relative to the volume of capital placed underscores a lean origination-and-placement model rather than an ongoing asset management operation. Leadership includes CEO Rick Ehrhart and founder Bob Avinger, with no broader management team publicly disclosed.
Optcapital firmographics
Firmographics- Name
- Optcapital
- Legal name
- OPTCAPITAL LLC
- Website
- https://optcapital.com
- Company type
- Private
- Founded year
- 1998
- Operating status
- Operating
- Headcount range
- 11–50 employees
- Short description
- Optcapital (OPTCAPITAL LLC) is a privately held Charlotte, North Carolina-based financial services firm specializing in deferred and incentive compensation, raising capital through SEC Rule 506(b) exempt securities offerings from US and international investors.
- Ownership category
- akta.pro rank
Optcapital industry classification
Industry- Product category
- Compensation & Financial Advisory Services
- NAICS
- Investment Banking and Securities Intermediation (523150), Portfolio Management and Investment Advice (523940)
- SIC
- Security Brokers, Dealers & Flotation Companies (6211), Investment Advice (6282)
- akta.pro primary industry
- Equity Capital Introduction & Prime Services (FSACAFAK)
- akta.pro secondary industry
- Private Client/High-Net-Worth Advisory (FSAEAAAN)
Keywords
Where Optcapital is headquartered
LocationHeadquarters
- HQ city
- Charlotte
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
Optcapital business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Operations, Marketing or Sales, Technology or R&D
Revenue model
- Securities Offerings: The company conducts exempt securities offerings under Rule 506(b), raising capital through debt and equity interests. The offering is conducted nationwide including non-US investors.
Optcapital product offering
Product offeringCore offering
Optcapital is a financial services firm that specializes in deferred and incentive compensation advisory services. It also conducts exempt private securities offerings under SEC Rule 506(b), raising debt and equity capital from U.S. and non-U.S. investors, with cumulative offering sales of approximately $1.32 billion.
Differentiator
Problem solved
Functional benefit
Products and services
- Deferred and Incentive Compensation Advisory Financial advisory service focused on the design and administration of deferred and incentive compensation arrangements for corporate and organizational clients.
- Exempt Securities Offerings (Rule 506(b)) Private placement of debt and equity interests under SEC Rule 506(b) to accredited U.S. and non-U.S. investors, used by OPTCAPITAL LLC for capital formation.
Companies that use Optcapital
Customer profileIdeal customer profiles2 records
Optcapital technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Optcapital partnerships and signals
Strategic signalScale indicators1 record
Recent moves4 records
Expansion highlights3 records
Optcapital competitors and assessment
Company assessmentDirect peers
- Forge Global: Forge Global is a private securities marketplace and liquidity provider serving accredited investors and employees of pre-IPO companies. Directly comparable as a platform facilitating private placements and secondary transactions, though at greater scale and with technology-driven distribution.
- SharesPost: SharesPost provides private company securities transactions and liquidity services to accredited investors and employees. Directly comparable as a private-placement intermediary with similar regulatory positioning under Rule 506 exemptions.
Emerging players
- AngelList: AngelList operates private investment funds and a deal-flow platform enabling accredited investors to participate in private placements. Comparable to Optcapital's Rule 506(b) placement activity, with a tech-platform orientation.
- MicroVentures: MicroVentures operates an online private-placement platform enabling accredited investors to participate in offerings under Regulation D. Comparable to Optcapital in conducting exempt private offerings at the retail-accredited level.
- Wefunder: Wefunder facilitates private securities offerings under Regulation Crowdfunding and Reg D, providing access to private investments for retail and accredited investors. Comparable in private-placement orientation though targeting earlier-stage deals.
- EquityZen: EquityZen operates a private securities marketplace facilitating secondary transactions and primary placements for late-stage private companies and their employees. Comparable to Optcapital in enabling private-placement access, but focused on tech-company equity rather than deferred comp.
Broad incumbents
- Charles Schwab: Charles Schwab is a large brokerage and wealth management firm offering investment advisory and private-placement access to retail and HNW clients. Comparable as a broad incumbent in the investment services space where Optcapital operates.
- Focus Financial Partners: Focus Financial Partners is a large network of independent wealth management and financial advisory firms serving high-net-worth clients. Comparable to Optcapital in serving HNW and corporate executive clients, but on a much broader advisory platform.
- Carta: Carta provides cap-table management, private securities administration, and liquidity solutions to private companies and investors. Comparable to Optcapital in operating private securities infrastructure, with broader scope including 506(b)/506(c) compliance and investor management.
- Edelman Financial Engines: Edelman Financial Engines provides wealth management, investment advisory, and retirement-planning services to individuals and corporate executives. Comparable to Optcapital in the deferred-compensation advisory space but operating as a large-scale incumbent.
Market position
Strengths4 records
Weaknesses5 records
Competitive moat2 records
Key risks5 records
Key highlights5 records
Customer concentration
Optcapital social profiles
Digital presenceOptcapital financial estimates
Financial estimateRevenue estimate
Valuation estimate
Optcapital leadership team
Management profileNumber of profiles
Profiles2 records
Optcapital funding detail
Funding detailFunding overview
Funding rounds2 records
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
Optcapital M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about Optcapital
What does Optcapital do?
Optcapital is a financial services firm that specializes in deferred and incentive compensation advisory services. It also conducts exempt private securities offerings under SEC Rule 506(b), raising debt and equity capital from U.S. and non-U.S. investors, with cumulative offering sales of approximately $1.32 billion.
Is Optcapital a public or private company?
Optcapital is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was Optcapital founded?
Optcapital was founded in 1998. It employs 11 to 50 people.
Where is Optcapital based?
Optcapital is headquartered in Charlotte, United States, in the North America region.
How does Optcapital make money?
One revenue line is on record: securities Offerings.
Who are Optcapital's main competitors?
Direct peers on record are Forge Global and SharesPost. Emerging players are AngelList, MicroVentures, Wefunder and EquityZen. Broad incumbents are Charles Schwab, Focus Financial Partners, Carta and Edelman Financial Engines.
Does Optcapital have an API?
No public API is recorded for Optcapital.
What industry is Optcapital in?
Optcapital's product category is Compensation & Financial Advisory Services. Its primary akta.pro industry code is FSACAFAK, Equity Capital Introduction & Prime Services, with a secondary code of FSAEAAAN, Private Client/High-Net-Worth Advisory. Its NAICS code is 523150 and its SIC code is 6211.