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.
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SEC-registered adviser
O•••••• F•••••••• S•••••••• L••
Latest filing Feb 9, 2026
First filing on the tape Mar 7, 2012 · 31 filings
SEC status approved since Feb 22, 1991
RAUM
$300M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$285M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$100M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$300M as of Feb 9, 2026
Mar 7, 2012$109M then
HNW client RAUM$242M as of Feb 9, 2026
Feb 28, 2018$132M then
State-registered IARs (5.B.3)3 as of Feb 9, 2026
Feb 28, 20132 then
Employees (5.A)4 as of Feb 9, 2026
Feb 28, 20133 then
Private funds: no history
RAUM +11% over the last fiscal year+5.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 9, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $100MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $617,682derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $4.3M, 9 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$242M81%
- Individuals$43.0M14%
- Pension and profit-sharing plans$9.4M3.1%
- Corporations and businesses$5.5M1.8%
- Individual clients
- 194reported
- HNW clients
- 42reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 486reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.3M for 9 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• H••• G•••••• | Jackson, Ms | Sep 12, 2018 | 11 y | 0 |
| J••• W••••• G•••••• | Jackson, Ms | Sep 12, 2018 | 36 y | 0 |
| J••• W••••• G•••••• I•• | Jackson, Ms | Sep 28, 2023 | 14 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• J•••• W••••• · President/Chief Compliance Officercontrolsince 04/2015 · owns less than 5%
- G••••••• W••••••• H••• · Executive Vice Presidentcontrolsince 04/2015 · owns less than 5%
- B••••••••• F••••• S••••• · Managercontrolsince 04/2007 · owns 25% to 50% of O•••••• H•••••••• L••
Entity owners
- O•••••• H•••••••• L•• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Jackson, Ms · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 469 to 486Feb 3, 2025 to Feb 9, 2026
- HNW clients · 44 to 42Feb 3, 2025 to Feb 9, 2026
- Individual clients · 188 to 194Feb 3, 2025 to Feb 9, 2026
- Pension plan clients · unset to 6.0Feb 3, 2025 to Feb 9, 2026
- Assets in custody · $4.8M to $4.3MFeb 3, 2025 to Feb 9, 2026
- Discretionary RAUM · $269M to $300MFeb 3, 2025 to Feb 9, 2026
- HNW RAUM · $218M to $242MFeb 3, 2025 to Feb 9, 2026
- Individual RAUM · $38.6M to $43.0MFeb 3, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $212,036 to $203,984Feb 3, 2025 to Feb 9, 2026
- Pension RAUM · $8.0M to $9.4MFeb 3, 2025 to Feb 9, 2026
- RAUM · $269M to $300MFeb 3, 2025 to Feb 9, 2026
- Accounts · 466 to 469Mar 6, 2024 to Feb 3, 2025
- HNW clients · 48 to 44Mar 6, 2024 to Feb 3, 2025
- Individual clients · 168 to 188Mar 6, 2024 to Feb 3, 2025
- Assets in custody · unset to 4840916.0Mar 6, 2024 to Feb 3, 2025
- Custody of client assets · false to trueMar 6, 2024 to Feb 3, 2025
- Financial planning clients · unset to Mar 6, 2024 to Feb 3, 2025
- Discretionary RAUM · $257M to $269MMar 6, 2024 to Feb 3, 2025
- HNW RAUM · $204M to $218MMar 6, 2024 to Feb 3, 2025
- Individual RAUM · $35.1M to $38.6MMar 6, 2024 to Feb 3, 2025
- Non-discretionary RAUM · $283,773 to $212,036Mar 6, 2024 to Feb 3, 2025
- Pension RAUM · $8.7M to $8.0MMar 6, 2024 to Feb 3, 2025
- RAUM · $257M to $269MMar 6, 2024 to Feb 3, 2025
- Accounts · 490 to 466Mar 16, 2023 to Mar 6, 2024
- Individual clients · 170 to 168Mar 16, 2023 to Mar 6, 2024
- Assets in custody · 6647164.0 to unsetMar 16, 2023 to Mar 6, 2024
- Custody of client assets · true to falseMar 16, 2023 to Mar 6, 2024
- Discretionary RAUM · $253M to $257MMar 16, 2023 to Mar 6, 2024
- HNW RAUM · $207M to $204MMar 16, 2023 to Mar 6, 2024
- Individual RAUM · $29.4M to $35.1MMar 16, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $362,030 to $283,773Mar 16, 2023 to Mar 6, 2024
- Pension RAUM · $7.9M to $8.7MMar 16, 2023 to Mar 6, 2024
- RAUM · $254M to $257MMar 16, 2023 to Mar 6, 2024
- Accounts · 526 to 490Nov 7, 2022 to Mar 16, 2023
- Corporate clients · 4.0 to unsetNov 7, 2022 to Mar 16, 2023
- HNW clients · 49 to 48Nov 7, 2022 to Mar 16, 2023
- Individual clients · 162 to 170Nov 7, 2022 to Mar 16, 2023
- Assets in custody · unset to 6647164.0Nov 7, 2022 to Mar 16, 2023
- Custody of client assets · false to trueNov 7, 2022 to Mar 16, 2023
- Discretionary RAUM · $268M to $253MNov 7, 2022 to Mar 16, 2023
Signals
4 dated events
- M Russ Bourne (Manager) no longer on Schedule A of O•••••• F•••••••• S•••••••• L•• (listed 2020-12-22, absent 2021-03-24)Mar 24, 2021 · Control person left · inference
- B William Harper (Member) no longer on Schedule A of O•••••• F•••••••• S•••••••• L•• (listed 2020-12-22, absent 2021-03-24)Mar 24, 2021 · Control person left · inference
- E Eric Wegener (Memeber) no longer on Schedule A of O•••••• F•••••••• S•••••••• L•• (listed 2020-12-22, absent 2021-03-24)Mar 24, 2021 · Control person left · inference
- O•••••• F•••••••• S••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 29, 2015 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@ofspm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 601-981-5900reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 610-606-0560reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/optimum-financial-services-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ofspm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 601-981-5900reportedpublic record, Form ADV, Feb 9, 2026
- Contact form
- ofspm.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $100Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026