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RIA / WealthAdvisor44 years in industry

MARK WALLACE JOHNSON

Advisor at VESTGEN ADVISORS, LLC

CHICAGO, IL | Chicago, IL

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:e4a4e7e1-5e57-c1c5-d86a-106e4aba03e9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 25, 2003 to Sep 15, 2026

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

Current firm: VESTGEN ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 11, 1981earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Dec 11, 1981
First registration: Nov 25, 2003
Dual registered: no
IAPD individual key: 1018744

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VESTGEN ADVISORS, LLC	Independent wealth	May 28, 2025	n/a	yes	Chicago, IL\|CHICAGO, IL	Current employment
OPTIMUM INVESTMENT ADVISORS, LLC	Former SEC adviser	Feb 20, 2015	Sep 30, 2025	no	CHICAGO, IL	Previous registration
Spc	Bd affiliated wealth	Feb 6, 2012	Feb 16, 2015	no	LISLE, IL\|ANN ARBOR, MI	Previous registration
MORGAN STANLEY	Wirehouse	Feb 16, 2010	Feb 8, 2012	no	Lisle, IL	Previous registration
FA ASSET MANAGEMENT INC.	n/a	Nov 25, 2003	Apr 4, 2007	no	OAKBROOK TERRACE, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OPTIMUM INVESTMENT ADVISORS, LLC	VESTGEN ADVISORS, LLC	Sep 30, 2025	May 28, 2025	-125	Firm change after gap	RIA to RIA
Spc	OPTIMUM INVESTMENT ADVISORS, LLC	Feb 16, 2015	Feb 20, 2015	4	Firm change	Other
MORGAN STANLEY	Spc	Feb 8, 2012	Feb 6, 2012	-2	Firm change	Other
FA ASSET MANAGEMENT INC.	MORGAN STANLEY	Apr 4, 2007	Feb 16, 2010	1,049	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
105182:318657:IL:2025-09-30	Sep 30, 2025	May 28, 2025	CHICAGO, IL	Firm change after gap

Relationships

Registered with (5)

→ VESTGEN ADVISORS, LLCRegistered adviserregistration: current employment
May 28, 2025 to presentfactForm ADV
→ OPTIMUM INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 20, 2015 to Sep 30, 2025factForm ADV
→ SPCRegistered adviserregistration: previous registration
Feb 6, 2012 to Feb 16, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Feb 16, 2010 to Feb 8, 2012factForm ADV
→ FA ASSET MANAGEMENT INC.Registered adviserregistration: previous registration
Nov 25, 2003 to Apr 4, 2007factForm ADV

Dated events

Occurred
Sep 30, 2025
Advisor changed firm
Mark Wallace Johnson left Optimum Investment Advisors, Llc for Vestgen Advisors, Llc (registered 2025-05-28)
Form ADVobserved 4 days ago