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••••• A•••• M••••••••• I••
Latest filing Feb 27, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since Jul 12, 1996
RAUM
$657M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$657M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$329M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$657M as of Feb 27, 2026
Mar 30, 2012$281M then
HNW client RAUM$653M as of Feb 27, 2026
Mar 8, 2018$508M then
State-registered IARs (5.B.3)2 as of Feb 27, 2026
Mar 30, 20120 then
Employees (5.A)2 as of Feb 27, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +8.3% over the last fiscal year+6.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $329MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $332M, 53 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$653M99%
- Individuals$4.3M0.7%
- Corporations and businesses$7,6100.0%
- Pension and profit-sharing plans$710.0%
- Individual clients
- 14reported
- HNW clients
- 97reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 273reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $332M for 53 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• A••• P••••Certified Financial Planner | Dallas, Tx | Apr 26, 2016 | 28 y | 0 |
| P••• A••• L••••••••Certified Financial Planner | Dallas, Tx | Aug 31, 2017 | 18 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
- L••••••••• P•••• A••• · President And Chief Executive Officercontrolsince 01/2016 · owns 50% to 75%
- P••••• A•••••• A••• · Executive Vice President And Chief Compliance Officercontrolsince 01/2016 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 27, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
- custody status changedChange between filings · filing Feb 27, 2026custody of client assets (Item 9.A): no on the filing of 2025-02-19, yes on the filing of 2026-02-27peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 284 to 273Feb 19, 2025 to Feb 27, 2026
- HNW clients · 102 to 97Feb 19, 2025 to Feb 27, 2026
- Individual clients · 19 to 14Feb 19, 2025 to Feb 27, 2026
- Assets in custody · $236M to $332MFeb 19, 2025 to Feb 27, 2026
- Custody of client assets · false to trueFeb 19, 2025 to Feb 27, 2026
- HNW RAUM · $601M to $653MFeb 19, 2025 to Feb 27, 2026
- Individual RAUM · $4.8M to $4.3MFeb 19, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $607M to $657MFeb 19, 2025 to Feb 27, 2026
- Pension RAUM · $1.3M to $71Feb 19, 2025 to Feb 27, 2026
- RAUM · $607M to $657MFeb 19, 2025 to Feb 27, 2026
- Accounts · 285 to 284Mar 9, 2024 to Feb 19, 2025
- HNW clients · 104 to 102Mar 9, 2024 to Feb 19, 2025
- Individual clients · 18 to 19Mar 9, 2024 to Feb 19, 2025
- Assets in custody · $203M to $236MMar 9, 2024 to Feb 19, 2025
- Financial planning clients · 11-25 to 11-25Mar 9, 2024 to Feb 19, 2025
- HNW RAUM · $594M to $601MMar 9, 2024 to Feb 19, 2025
- Individual RAUM · $4.3M to $4.8MMar 9, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $599M to $607MMar 9, 2024 to Feb 19, 2025
- Pension RAUM · $1.2M to $1.3MMar 9, 2024 to Feb 19, 2025
- RAUM · $599M to $607MMar 9, 2024 to Feb 19, 2025
- Accounts · 297 to 285Mar 2, 2023 to Mar 9, 2024
- HNW clients · 108 to 104Mar 2, 2023 to Mar 9, 2024
- Individual clients · 15 to 18Mar 2, 2023 to Mar 9, 2024
- Assets in custody · $208M to $203MMar 2, 2023 to Mar 9, 2024
- Custody of client assets · true to falseMar 2, 2023 to Mar 9, 2024
- HNW RAUM · $545M to $594MMar 2, 2023 to Mar 9, 2024
- Individual RAUM · $3.6M to $4.3MMar 2, 2023 to Mar 9, 2024
- Non-discretionary RAUM · $550M to $599MMar 2, 2023 to Mar 9, 2024
- Pension RAUM · $1.0M to $1.2MMar 2, 2023 to Mar 9, 2024
- RAUM · $550M to $599MMar 2, 2023 to Mar 9, 2024
- Accounts · 262 to 297Mar 10, 2022 to Mar 2, 2023
- HNW clients · 94 to 108Mar 10, 2022 to Mar 2, 2023
- Individual clients · 13 to 15Mar 10, 2022 to Mar 2, 2023
- Assets in custody · $254M to $208MMar 10, 2022 to Mar 2, 2023
- HNW RAUM · $664M to $545MMar 10, 2022 to Mar 2, 2023
- Individual RAUM · $4.4M to $3.6MMar 10, 2022 to Mar 2, 2023
- Non-discretionary RAUM · $670M to $550MMar 10, 2022 to Mar 2, 2023
- Pension RAUM · $1.2M to $1.0MMar 10, 2022 to Mar 2, 2023
- RAUM · $670M to $550MMar 10, 2022 to Mar 2, 2023
- Accounts · 209 to 262Mar 9, 2021 to Mar 10, 2022
Signals
1 dated events
- O••••• A•••• M••••••••• I•• reported RAUM $669.6M, up 37% from $490.1M (2021-03-09 to 2022-03-10)Mar 10, 2022 · RAUM change · derived
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@optimaassetmgt.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-202-5180reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 972-726-0400reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/optima-asset-management-increportedpublic record, Form ADV, Sep 19, 2026
- Website
- O•••••ASSETMGT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 972-726-0400reportedpublic record, Form ADV, Feb 27, 2026
- Team page
- optimaassetmgt.com/our-team-fee-only-financial-advisorsreportedpublished 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
- $329Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026