DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

OPTIMA ASSET MANAGEMENT INC

CRD 106095

DALLAS, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:58ee34a1-19cb-adcf-bf05-68a7ab154414

Data as of Feb 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Feb 27, 2026
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $657MItem 5.F on the latest filing (2026-02-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $657MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $329Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 273
Individual clients: 14
High net worth clients: 97
Custody, client assets: $332M
SEC number: 801-52409
CRD: 106095
Filings on the tape: 19
First filed: Mar 30, 2012
Latest filed: Feb 27, 2026
Organised: Corporation, TX

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ARCHIE ALBA PONCE	Certified Financial Planner	DALLAS, TX	10	28	n/a	no
PAUL ALAN LIGHTFOOT	Certified Financial Planner	DALLAS, TX	9	18	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
LIGHTFOOT, PAUL, ALAN	PRESIDENT AND CHIEF EXECUTIVE OFFICER	D	yes	01/2016	Mar 27, 2014	Mar 9, 2024
PONCE, ARCHIE, ALBA	EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	C	yes	01/2016	Mar 27, 2014	Mar 9, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 27, 2026	$657M	$0	2	2	0	n/a	n/a
2024	Feb 19, 2025	$607M	$0	2	2	0	n/a	n/a
2023	Mar 9, 2024	$599M	$0	2	2	0	n/a	n/a
2022	Mar 2, 2023	$550M	$0	2	2	0	n/a	n/a
2021	Mar 10, 2022	$670M	$0	2	2	0	n/a	n/a
2020	Mar 9, 2021	$490M	$0	2	2	0	n/a	n/a
2019	Mar 24, 2020	$479M	$0	2	2	0	n/a	n/a
2018	Mar 11, 2019	$453M	$0	2	2	0	n/a	n/a
2017	Mar 8, 2018	$514M	$0	2	2	0	n/a	n/a
2016	Jan 11, 2017	$432M	$0	2	2	n/a	n/a	n/a
2015	Mar 18, 2016	$416M	$0	2	2	n/a	n/a	n/a
2014	Mar 30, 2015	$446M	$0	3	3	n/a	n/a	n/a
2013	Mar 27, 2014	$438M	$0	3	3	n/a	n/a	n/a
2012	Mar 28, 2013	$365M	$0	3	3	n/a	n/a	n/a
2011	Mar 30, 2012	$281M	$0	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$657M	$607M	8.3%	$550M	6.2%	2	2	0	0

Relationships

Registered with (2)

← PAUL ALAN LIGHTFOOTAdvisorregistration: current employment
Aug 31, 2017 to presentfactForm ADV
← ARCHIE ALBA PONCEAdvisorregistration: current employment
Apr 26, 2016 to presentfactForm ADV

Controls (2)

← PONCE, ARCHIE, ALBAOwnerEXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 27, 2014 to Mar 9, 2024factForm ADV
← LIGHTFOOT, PAUL, ALANOwnerPRESIDENT AND CHIEF EXECUTIVE OFFICER, ownership code D, individual
Mar 27, 2014 to Mar 9, 2024factForm ADV

Dated events

Occurred
Mar 10, 2022
Regulatory AUM changed
Optima Asset Management Inc reported RAUM $669.6M, up 37% from $490.1M (2021-03-09 to 2022-03-10)
Form ADVobserved 6 days ago
$179M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:58ee34a1-19cb-adcf-bf05-68a7ab154414
First observed: Mar 30, 2012
Last observed: Feb 27, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

OPTIMA ASSET MANAGEMENT INC

CRD 106095

DALLAS, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:58ee34a1-19cb-adcf-bf05-68a7ab154414

Data as of Feb 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:46 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ARCHIE ALBA PONCE

Certified Financial Planner

DALLAS, TX

n/a

PAUL ALAN LIGHTFOOT

Certified Financial Planner

DALLAS, TX

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LIGHTFOOT, PAUL, ALAN

PRESIDENT AND CHIEF EXECUTIVE OFFICER

yes

01/2016

Mar 27, 2014

Mar 9, 2024

PONCE, ARCHIE, ALBA

EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

01/2016

Mar 27, 2014

Mar 9, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 27, 2026

$657M

n/a

2024

Feb 19, 2025

$607M

n/a

2023

Mar 9, 2024

$599M

n/a

2022

Mar 2, 2023

$550M

n/a

2021

Mar 10, 2022

$670M

n/a

2020

Mar 9, 2021

$490M

n/a

2019

Mar 24, 2020

$479M

n/a

2018

Mar 11, 2019

$453M

n/a

2017

Mar 8, 2018

$514M

n/a

2016

Jan 11, 2017

$432M

n/a

2015

Mar 18, 2016

$416M

n/a

2014

Mar 30, 2015

$446M

n/a

2013

Mar 27, 2014

$438M

n/a

2012

Mar 28, 2013

$365M

n/a

2011

Mar 30, 2012

$281M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$657M

$607M

8.3%

$550M

6.2%