DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Optimum Investment Advisors, LLC
Latest filing Mar 24, 2025
First filing on the tape Mar 29, 2012 · 29 filings
SEC status approved since Dec 28, 1989
RAUM
$322M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
73%
$235M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$322M as of Mar 24, 2025
Mar 29, 2012$333M then
HNW client RAUM$147M as of Mar 24, 2025
Mar 21, 2018$334M then
State-registered IARs (5.B.3)5 as of Mar 24, 2025
Mar 21, 20137 then
Employees (5.A)5 as of Mar 24, 2025
Mar 21, 201311 then
Private funds: no history
RAUM +12% over the last fiscal year-3.2% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 24, 2025; every figure names its basis
- RAUM per advisor
- $64.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $755,333derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$147M50%
- Individuals$88.3M30%
- Pension and profit-sharing plans$56.6M19%
- Individual clients
- 99reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 426reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- Alfred David Holland to Vestgen Advisors, LLCSep 30, 2025 · RIA to RIA
- John Joseph Zielinski to Vestgen Advisors, LLCSep 30, 2025 · RIA to RIA
- Terry Michael Mccaffrey to Vestgen Advisors, LLCSep 30, 2025 · RIA to RIA
- Mark Wallace Johnson to Vestgen Advisors, LLCSep 30, 2025 · RIA to RIA
- Joseph Ryan Moore to Prota FinancialSep 22, 2022 · RIA to RIA
- Kim W Suchy to Cambridge Investment Research Advisors, Inc.Aug 3, 2020 · RIA to affiliated broker-dealer or bank
- Christine R Quillian to MontagMay 14, 2015 · Other
- Keith Allen Schoepke to Wynstone Investment Advisors, LLC.Mar 5, 2012 · Other
- Christopher John Demonte to Citigroup Global Markets Inc.Oct 24, 2007 · Other
- Michael Leo Shea to Alpha FiduciaryFeb 28, 2007 · Other
- Mark Larson to Td Ameritrade, Inc.Sep 30, 2005 · Other
- Sanford Philip Lowengart to Sdr Capital Management, Inc.Jun 1, 2004 · Other
- Edward Joseph Malysiak to William Blair & Company L.L.C.Apr 22, 2004 · Other
Joined, latest
- Joseph Ryan Moore from Equitable Advisors, LLCMar 20, 2018 · Other
- John Joseph Zielinski from William Blair & Company L.L.C.Jun 16, 2016 · Other
- Mark Wallace Johnson from SpcFeb 20, 2015 · Other
- Alfred David Holland from Wells Fargo AdvisorsJun 17, 2014 · Other
- Kim W Suchy from William Blair & Company L.L.C.Apr 19, 2011 · Other
- Terry Michael Mccaffrey from Banc Of America Investment Services, Inc.Apr 2, 2009 · Other
- Keith Allen Schoepke from J.P. Morgan Securities LLCMar 23, 2009 · Other
- Christine R Quillian from Quillian Capital Management, LLCJan 17, 2007 · Other
- Mark Larson from Charles Schwab & Co., Inc.May 11, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Vestgen Advisors, LLCSep 30, 2025 · Chicago, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Terry Mccaffrey · Chairman, Chief Executive Officer And Chief Compliance Officercontrolsince 02/2009 · owns less than 5%
- Michael Terry Mccaffrey · Membercontrolsince 09/2013 · owns 75% or more of Optimum Investment Group, LLC
Entity owners
- Optimum Investment Group, LLC · Member And Managerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 0 | 0 | 3 | ||
| Dallas, Tx | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 439 to 426Feb 8, 2024 to Mar 24, 2025
- HNW clients · 53 to 46Feb 8, 2024 to Mar 24, 2025
- Individual clients · 109 to 99Feb 8, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 1-10Feb 8, 2024 to Mar 24, 2025
- Discretionary RAUM · $276M to $293MFeb 8, 2024 to Mar 24, 2025
- HNW RAUM · $145M to $147MFeb 8, 2024 to Mar 24, 2025
- Individual RAUM · $81.8M to $88.3MFeb 8, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $11.4M to $28.4MFeb 8, 2024 to Mar 24, 2025
- Pension RAUM · $45.3M to $56.6MFeb 8, 2024 to Mar 24, 2025
- RAUM · $288M to $322MFeb 8, 2024 to Mar 24, 2025
- Accounts · 465 to 439Feb 24, 2023 to Feb 8, 2024
- HNW clients · 61 to 53Feb 24, 2023 to Feb 8, 2024
- Individual clients · 131 to 109Feb 24, 2023 to Feb 8, 2024
- Other offices · 2 to 0Feb 24, 2023 to Feb 8, 2024
- Discretionary RAUM · $190M to $276MFeb 24, 2023 to Feb 8, 2024
- HNW RAUM · $141M to $145MFeb 24, 2023 to Feb 8, 2024
- Individual RAUM · $80.0M to $81.8MFeb 24, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $71.1M to $11.4MFeb 24, 2023 to Feb 8, 2024
- Pension RAUM · $35.3M to $45.3MFeb 24, 2023 to Feb 8, 2024
- RAUM · $261M to $288MFeb 24, 2023 to Feb 8, 2024
- Accounts · 583 to 465Mar 14, 2022 to Feb 24, 2023
- Advisory employees · 6 to 5Mar 14, 2022 to Feb 24, 2023
- HNW clients · 77 to 61Mar 14, 2022 to Feb 24, 2023
- Individual clients · 217 to 131Mar 14, 2022 to Feb 24, 2023
- Pension plan clients · 5.0 to unsetMar 14, 2022 to Feb 24, 2023
- Employees · 6 to 5Mar 14, 2022 to Feb 24, 2023
- State-registered IARs · 6 to 5Mar 14, 2022 to Feb 24, 2023
- Discretionary RAUM · $291M to $190MMar 14, 2022 to Feb 24, 2023
- HNW RAUM · $203M to $141MMar 14, 2022 to Feb 24, 2023
- Individual RAUM · $106M to $80.0MMar 14, 2022 to Feb 24, 2023
- Non-discretionary RAUM · $64.3M to $71.1MMar 14, 2022 to Feb 24, 2023
- Pension RAUM · $40.0M to $35.3MMar 14, 2022 to Feb 24, 2023
- RAUM · $355M to $261MMar 14, 2022 to Feb 24, 2023
- Accounts · 690 to 583Mar 16, 2021 to Mar 14, 2022
- Advisory employees · 9 to 6Mar 16, 2021 to Mar 14, 2022
- HNW clients · 184 to 77Mar 16, 2021 to Mar 14, 2022
- Individual clients · 182 to 217Mar 16, 2021 to Mar 14, 2022
- Pension plan clients · 6 to 5Mar 16, 2021 to Mar 14, 2022
- Employees · 9 to 6Mar 16, 2021 to Mar 14, 2022
- State-registered IARs · 9 to 6Mar 16, 2021 to Mar 14, 2022
Signals
7 dated events
- Optimum Investment Advisors, Llc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $321.8M)Dec 20, 2025 · Left the SEC roster · derived
- John Joseph Zielinski left Optimum Investment Advisors, Llc for Vestgen Advisors, Llc (registered 2025-05-27)Sep 30, 2025 · Advisor changed firm · fact
- Mark Wallace Johnson left Optimum Investment Advisors, Llc for Vestgen Advisors, Llc (registered 2025-05-28)Sep 30, 2025 · Advisor changed firm · fact
- Alfred David Holland left Optimum Investment Advisors, Llc for Vestgen Advisors, Llc (registered 2025-05-29)Sep 30, 2025 · Advisor changed firm · fact
- Terry Michael Mccaffrey left Optimum Investment Advisors, Llc for Vestgen Advisors, Llc (registered 2025-05-27)Sep 30, 2025 · Advisor changed firm · fact
- Optimum Investment Advisors, LLC's advisors moved to Vestgen Advisors, LLC (Chicago, IL): 3 of 4 registered, on the same daySep 30, 2025 · Firm absorbed (people side) · derived
- Joseph Ryan Moore left Optimum Investment Advisors, Llc for Prota Financial (registered 2022-02-17)Sep 22, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026