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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

OPTIMUM INVESTMENT ADVISORS, LLC

CRD 105182

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:ed4184a9-da73-303e-e5bf-8651d8556c21

Data as of Mar 24, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 7
On other graphs: 0
Observed: Mar 29, 2012 to Mar 24, 2025
29 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $322MItem 5.F on the latest filing (2025-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $293M
Private client RAUM: $235MderivedItem 5.D individuals plus high net worth individuals
Private client share: 73%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 426
Individual clients: 99
High net worth clients: 46
SEC number: 801-35773
CRD: 105182
Filings on the tape: 29
First filed: Mar 29, 2012
Latest filed: Mar 24, 2025
Organised: Limited Liability Company, IL
Website: optimuminvestment.com

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
MCCAFFREY, TERRY, MICHAEL	Member	E	yes	09/2013	Mar 29, 2012	Feb 8, 2024
MCCAFFREY, TERRY, MICHAEL	CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	02/2009	Mar 29, 2012	Feb 8, 2024
OPTIMUM INVESTMENT GROUP, LLC	MEMBER AND MANAGER	E	yes	08/2004	Mar 29, 2012	Feb 8, 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
2024	Mar 24, 2025	$322M	$293M	5	5	0	n/a	n/a
2023	Feb 8, 2024	$288M	$276M	5	5	0	n/a	n/a
2022	Feb 24, 2023	$261M	$190M	5	5	2	n/a	n/a
2021	Mar 14, 2022	$355M	$291M	6	6	2	n/a	n/a
2020	Mar 16, 2021	$443M	$369M	9	9	3	n/a	n/a
2019	Mar 19, 2020	$452M	$418M	14	14	3	n/a	n/a
2018	Mar 27, 2019	$373M	$373M	14	14	4	n/a	n/a
2017	Mar 21, 2018	$459M	$459M	14	14	4	n/a	n/a
2016	Mar 29, 2017	$418M	$418M	14	14	n/a	n/a	n/a
2015	Mar 29, 2016	$409M	$409M	14	14	n/a	n/a	n/a
2014	Mar 28, 2015	$355M	$355M	14	10	n/a	n/a	n/a
2013	Mar 26, 2014	$314M	$314M	11	7	n/a	n/a	n/a
2012	Mar 21, 2013	$317M	$317M	11	6	n/a	n/a	n/a
2011	Mar 29, 2012	$333M	$333M	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	4	-4	n/a	0	0	0	0	4

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
2024	$322M	$288M	11.9%	$355M	-3.2%	5	5	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
VESTGEN ADVISORS, LLC	3	Sep 30, 2025	May 28, 2025	CHICAGO, IL	Firm absorbed	RIA to RIA	75.0%

Relationships

Registered with (13)

← MARK WALLACE JOHNSONAdvisorregistration: previous registration
Feb 20, 2015 to Sep 30, 2025factForm ADV
← ALFRED DAVID HOLLANDAdvisorregistration: previous registration
Jun 17, 2014 to Sep 30, 2025factForm ADV
← JOHN JOSEPH ZIELINSKIAdvisorregistration: previous registration
Jun 16, 2016 to Sep 30, 2025factForm ADV
← TERRY MICHAEL MCCAFFREYAdvisorregistration: previous registration
Apr 2, 2009 to Sep 30, 2025factForm ADV
← JOSEPH Ryan MOOREAdvisorregistration: previous registration
Mar 20, 2018 to Sep 22, 2022factForm ADV
← KIM W SUCHYAdvisorregistration: previous registration
Apr 19, 2011 to Aug 3, 2020factForm ADV
← CHRISTINE R QUILLIANAdvisorregistration: previous registration
Jan 17, 2007 to May 14, 2015factForm ADV
← KEITH ALLEN SCHOEPKEAdvisorregistration: previous registration
Mar 23, 2009 to Mar 5, 2012factForm ADV
← CHRISTOPHER JOHN DEMONTEAdvisorregistration: previous registration
Jun 22, 2006 to Oct 24, 2007factForm ADV
← MICHAEL LEO SHEAAdvisorregistration: previous registration
Mar 28, 2005 to Feb 28, 2007factForm ADV
← MARK LARSONAdvisorregistration: previous registration
May 11, 2005 to Sep 30, 2005factForm ADV
← SANFORD PHILIP LOWENGARTAdvisorregistration: previous registration
Dec 11, 2002 to Jun 1, 2004factForm ADV
← EDWARD JOSEPH MALYSIAKAdvisorregistration: previous registration
Jan 26, 2004 to Apr 22, 2004factForm ADV

Moved with (1)

→ VESTGEN ADVISORS, LLCRegistered adviser3 advisors, firm absorbed, same day
Sep 30, 2025 to May 28, 2025factForm ADV

Controls (2)

← MCCAFFREY, TERRY, MICHAELOwnerMEMBER, ownership code E, individual
Mar 29, 2012 to Feb 8, 2024factForm ADV
← OPTIMUM INVESTMENT GROUP, LLCOwnerMEMBER AND MANAGER, ownership code E, domestic entity
Mar 29, 2012 to Feb 8, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 30, 2025
Firm absorbed
Optimum Investment Advisors, LLC's advisors moved to Vestgen Advisors, LLC (Chicago, IL): 3 of 4 registered, on the same day
Form ADVobserved 4 days ago
3 advisors
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
Occurred
Sep 30, 2025
Advisor changed firm
Terry Michael Mccaffrey left Optimum Investment Advisors, Llc for Vestgen Advisors, Llc (registered 2025-05-27)
Form ADVobserved 4 days ago
Occurred
Sep 30, 2025
Advisor changed firm
John Joseph Zielinski left Optimum Investment Advisors, Llc for Vestgen Advisors, Llc (registered 2025-05-27)
Form ADVobserved 4 days ago
Occurred
Sep 30, 2025
Advisor changed firm
Alfred David Holland left Optimum Investment Advisors, Llc for Vestgen Advisors, Llc (registered 2025-05-29)
Form ADVobserved 4 days ago
Occurred
Sep 22, 2022
Advisor changed firm
Joseph Ryan Moore left Optimum Investment Advisors, Llc for Prota Financial (registered 2022-02-17)
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Dec 20, 2025
Optimum Investment Advisors, Llc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $321.8M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ed4184a9-da73-303e-e5bf-8651d8556c21
First observed: Mar 29, 2012
Last observed: Mar 24, 2025 18 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.

OPTIMUM INVESTMENT ADVISORS, LLC

CRD 105182

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:ed4184a9-da73-303e-e5bf-8651d8556c21

Data as of Mar 24, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MCCAFFREY, TERRY, MICHAEL

Member

yes

09/2013

Mar 29, 2012

Feb 8, 2024

MCCAFFREY, TERRY, MICHAEL

CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER

yes

02/2009

Mar 29, 2012

Feb 8, 2024

OPTIMUM INVESTMENT GROUP, LLC

MEMBER AND MANAGER

yes

08/2004

Mar 29, 2012

Feb 8, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 24, 2025

$322M

$293M

n/a

2023

Feb 8, 2024

$288M

$276M

n/a

2022

Feb 24, 2023

$261M

$190M

n/a

2021

Mar 14, 2022

$355M

$291M

n/a

2020

Mar 16, 2021

$443M

$369M

n/a

2019

Mar 19, 2020

$452M

$418M

n/a

2018

Mar 27, 2019

$373M

n/a

2017

Mar 21, 2018

$459M

n/a

2016

Mar 29, 2017

$418M

n/a

2015

Mar 29, 2016

$409M

n/a

2014

Mar 28, 2015

$355M

n/a

2013

Mar 26, 2014

$314M

n/a

2012

Mar 21, 2013

$317M

n/a

2011

Mar 29, 2012

$333M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-4

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$322M

$288M

11.9%

$355M

-3.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

VESTGEN ADVISORS, LLC

Sep 30, 2025

May 28, 2025

CHICAGO, IL

Firm absorbed

RIA to RIA

75.0%