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••••••• R••••••••• G••••• L••
Latest filing Mar 23, 2026
First filing on the tape Feb 15, 2012 · 20 filings
SEC status approved since Oct 9, 2018
RAUM
$245M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$245M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$245M as of Mar 23, 2026
Feb 15, 2012$52.0M then
HNW client RAUM$228M as of Mar 23, 2026
Feb 26, 2019$68.1M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Feb 26, 20194 then
Employees (5.A)2 as of Mar 23, 2026
Feb 26, 20194 then
Private funds: no history
RAUM +0.9% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 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
- RAUM per advisor
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.2%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$228M93%
- Individuals$17.2M7.0%
- Individual clients
- 48reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 226reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- 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 |
|---|---|---|---|---|
| R••• M•••••• P•••••Certified Financial Planner | Scottsdale, Az | May 19, 2005 | 27 y | 1 |
| G••••• P•••••• W•••••••Certified Financial Planner | Bellevue, Wa | May 19, 2005 | 31 y | 1 |
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
- K••• M•••••• T•••••• to T•••••• F•••••••• M••••••••• G••••• L•••••Aug 16, 2021 · Other
- C•••• M•••••• T•••••• to T•••••• F•••••••• M••••••••• G••••• L•••••Aug 16, 2021 · Other
- B•••• N••••••• T•••••• to T•••••• F•••••••• M••••••••• G••••• L•••••Aug 16, 2021 · Other
Joined, latest
- C•••• M•••••• T•••••• from R•• C•••••• M••••••• L••May 5, 2020 · Affiliated broker-dealer or bank to independent RIA
- K••• M•••••• T•••••• from L•••••• S•• I••••••••• A•••••••• L•••••Aug 31, 2017 · Other
- G••••• P•••••• W••••••• from P•••••• W••• F•••••••• C••••••••• I••May 19, 2005 · Other
- R••• M•••••• P••••• from P•••••• W••• F•••••••• C••••••••• I••May 19, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• R•••• M•••••• · Member/Chief Compliance Officercontrolsince 12/2004 · owns 25% to 50%
- W•••••••• G•••••• P•••••• · Managing Membercontrolsince 12/2004 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Bellevue, Wa · principal | 2 | 0 | 0 | ||
| Scottsdale, Az | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ1 employees
What changed
consecutive filings, newest first
- Accounts · 213 to 226Mar 26, 2025 to Mar 23, 2026
- HNW clients · 65 to 71Mar 26, 2025 to Mar 23, 2026
- Individual clients · 46 to 48Mar 26, 2025 to Mar 23, 2026
- Discretionary RAUM · $243M to $245MMar 26, 2025 to Mar 23, 2026
- HNW RAUM · $227M to $228MMar 26, 2025 to Mar 23, 2026
- Individual RAUM · $16.2M to $17.2MMar 26, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $0 to $264,918Mar 26, 2025 to Mar 23, 2026
- RAUM · $243M to $245MMar 26, 2025 to Mar 23, 2026
- Accounts · 180 to 213Mar 19, 2024 to Mar 26, 2025
- HNW clients · 60 to 65Mar 19, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Mar 19, 2024 to Mar 26, 2025
- Discretionary RAUM · $188M to $243MMar 19, 2024 to Mar 26, 2025
- HNW RAUM · $173M to $227MMar 19, 2024 to Mar 26, 2025
- Individual RAUM · $14.6M to $16.2MMar 19, 2024 to Mar 26, 2025
- RAUM · $188M to $243MMar 19, 2024 to Mar 26, 2025
- Accounts · 178 to 180Mar 31, 2023 to Mar 19, 2024
- Business name · O••••••• R••••••••• L•• to O••••••• R••••••••• G••••• L••Mar 31, 2023 to Mar 19, 2024
- HNW clients · 63 to 60Mar 31, 2023 to Mar 19, 2024
- Individual clients · 38 to 46Mar 31, 2023 to Mar 19, 2024
- Legal name · O••••••• R••••••••• L•• to O••••••• R••••••••• G••••• L••Mar 31, 2023 to Mar 19, 2024
- Discretionary RAUM · $158M to $188MMar 31, 2023 to Mar 19, 2024
- HNW RAUM · $147M to $173MMar 31, 2023 to Mar 19, 2024
- Individual RAUM · $11.2M to $14.6MMar 31, 2023 to Mar 19, 2024
- RAUM · $158M to $188MMar 31, 2023 to Mar 19, 2024
- Accounts · 183 to 178Mar 7, 2022 to Mar 31, 2023
- Advisory activities · 3 to 2Mar 7, 2022 to Mar 31, 2023
- HNW clients · 99 to 63Mar 7, 2022 to Mar 31, 2023
- Individual clients · 62 to 38Mar 7, 2022 to Mar 31, 2023
- Discretionary RAUM · $161M to $158MMar 7, 2022 to Mar 31, 2023
- HNW RAUM · $144M to $147MMar 7, 2022 to Mar 31, 2023
- Individual RAUM · $16.8M to $11.2MMar 7, 2022 to Mar 31, 2023
- RAUM · $161M to $158MMar 7, 2022 to Mar 31, 2023
- Accounts · 276 to 183Aug 16, 2021 to Mar 7, 2022
- Charity clients · 2.0 to unsetAug 16, 2021 to Mar 7, 2022
- HNW clients · 46 to 99Aug 16, 2021 to Mar 7, 2022
- Individual clients · 122 to 62Aug 16, 2021 to Mar 7, 2022
- Financial planning clients · 51-100 to 101-250Aug 16, 2021 to Mar 7, 2022
- Discretionary RAUM · $134M to $161MAug 16, 2021 to Mar 7, 2022
- HNW RAUM · $106M to $144MAug 16, 2021 to Mar 7, 2022
- Individual RAUM · $26.9M to $16.8MAug 16, 2021 to Mar 7, 2022
Signals
1 dated events
- W••••••• P••••• filed its initial SEC registration (Form ADV)Sep 10, 2018 · First SEC registration · 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@optimistretirement.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 425-637-3037reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-447-3574reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-637-3037reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- optimistretirement.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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026