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.
SEC-registered adviser
Optivest, Inc.
Latest filing Mar 30, 2026
First filing on the tape Nov 9, 2011 · 31 filings
SEC status approved since Mar 26, 2008
RAUM
$319M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
97%
$310M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$106M
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$319M as of Mar 30, 2026
Mar 29, 2012$145M then
HNW client RAUM$290M as of Mar 30, 2026
Mar 29, 2018$374M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 27, 20132 then
Employees (5.A)4 as of Mar 30, 2026
Mar 27, 20133 then
Private funds: no history
RAUM +1.1% over the last fiscal year+0.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 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
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $756,961derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 1.7%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
- +1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$290M92%
- Individuals$19.8M6.3%
- Pension and profit-sharing plans$3.8M1.2%
- Charitable organizations$1.6M0.5%
- Corporations and businesses$1.4M0.5%
- Individual clients
- 52reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 422reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Leslie Ann Calhoun | San Juan Capistrano, Ca | Dec 3, 2013 | 33 y | 0 |
| Matthew Michael McmanusCertified Financial Planner | San Juan Capistrano, Ca | Dec 11, 2018 | 17 y | 6 |
| Ryan Michael Thomason | San Juan Capistrano, Ca | Nov 20, 2020 | 12 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
- Leon Gregory James to Tucker Asset Management LLCJun 30, 2022 · RIA to RIA
- Bart Adrian Zandbergen to Axxcess Wealth Management, LLCOct 7, 2020 · RIA to RIA
- Letitia Steiner Berbaum to Axxcess Wealth Management, LLCOct 7, 2020 · RIA to RIA
Joined, latest
- Ryan Michael Thomason from RBC Rochdale, LLCNov 20, 2020 · RIA to RIA
- Matthew Michael Mcmanus from MML Investors Services, LLCDec 11, 2018 · Affiliated broker-dealer or bank to independent RIA
- Letitia Steiner Berbaum from LPL Financial LLCMar 24, 2018 · Other
- Bart Adrian Zandbergen from Financial Management Network IncJan 12, 2017 · Other
- Leon Gregory James from Centaurus Financial, Inc.Mar 18, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Axxcess Wealth Management, LLCOct 7, 2020 · San Juan Capistrano, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Leslie Calhoun · President/Chief Compliance Officer/Ceo/Shareholdercontrolsince 12/2018 · owns 75% or more
Related persons
Schedule D 7.A
- Sector Logic, LPinvestment advisernRAUM $43.8M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Juan Capistrano, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 423 to 422Apr 1, 2025 to Mar 30, 2026
- Individual clients · 48 to 52Apr 1, 2025 to Mar 30, 2026
- Discretionary RAUM · $184M to $210MApr 1, 2025 to Mar 30, 2026
- HNW RAUM · $290M to $290MApr 1, 2025 to Mar 30, 2026
- Individual RAUM · $17.1M to $19.8MApr 1, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $132M to $109MApr 1, 2025 to Mar 30, 2026
- Pension RAUM · $3.1M to $3.8MApr 1, 2025 to Mar 30, 2026
- RAUM · $316M to $319MApr 1, 2025 to Mar 30, 2026
- Accounts · 446 to 423Mar 27, 2024 to Apr 1, 2025
- HNW clients · 54 to 56Mar 27, 2024 to Apr 1, 2025
- Individual clients · 111 to 48Mar 27, 2024 to Apr 1, 2025
- Financial planning clients · 11-25 to 11-25Mar 27, 2024 to Apr 1, 2025
- HQ city · DANA POINT to SAN JUAN CAPISTRANOMar 27, 2024 to Apr 1, 2025
- Discretionary RAUM · $183M to $184MMar 27, 2024 to Apr 1, 2025
- HNW RAUM · $280M to $290MMar 27, 2024 to Apr 1, 2025
- Individual RAUM · $19.0M to $17.1MMar 27, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $137M to $132MMar 27, 2024 to Apr 1, 2025
- Pension RAUM · $2.4M to $3.1MMar 27, 2024 to Apr 1, 2025
- RAUM · $320M to $316MMar 27, 2024 to Apr 1, 2025
- Accounts · 365 to 446Mar 21, 2023 to Mar 27, 2024
- HNW clients · 59 to 54Mar 21, 2023 to Mar 27, 2024
- Individual clients · 46 to 111Mar 21, 2023 to Mar 27, 2024
- Discretionary RAUM · $157M to $183MMar 21, 2023 to Mar 27, 2024
- HNW RAUM · $285M to $280MMar 21, 2023 to Mar 27, 2024
- Individual RAUM · $10.8M to $19.0MMar 21, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $159M to $137MMar 21, 2023 to Mar 27, 2024
- Pension RAUM · $2.8M to $2.4MMar 21, 2023 to Mar 27, 2024
- RAUM · $317M to $320MMar 21, 2023 to Mar 27, 2024
- Accounts · 400 to 365Mar 29, 2022 to Mar 21, 2023
- Advisory employees · 4 to 3Mar 29, 2022 to Mar 21, 2023
- HNW clients · 54 to 59Mar 29, 2022 to Mar 21, 2023
- Individual clients · 40 to 46Mar 29, 2022 to Mar 21, 2023
- Employees · 5 to 4Mar 29, 2022 to Mar 21, 2023
- State-registered IARs · 4 to 3Mar 29, 2022 to Mar 21, 2023
- Discretionary RAUM · $183M to $157MMar 29, 2022 to Mar 21, 2023
- HNW RAUM · $364M to $285MMar 29, 2022 to Mar 21, 2023
- Individual RAUM · $18.3M to $10.8MMar 29, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $213M to $159MMar 29, 2022 to Mar 21, 2023
- Pension RAUM · $3.1M to $2.8MMar 29, 2022 to Mar 21, 2023
- RAUM · $396M to $317MMar 29, 2022 to Mar 21, 2023
Signals
4 dated events
- Leon Gregory James left Optivest, Inc. for Tucker Asset Management Llc (registered 2025-01-01)Jun 30, 2022 · Advisor changed firm · fact
- Optivest, Inc. reported RAUM $396.4M, up 42% from $278.5M (2021-12-09 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Optivest, Inc. reported RAUM $278.5M, down 45% from $507.3M (2020-10-19 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Sholes Mark Vanmourick (President/Ceo/Shareholder) no longer on Schedule A of Optivest, Inc. (listed 2018-09-05, absent 2019-02-05)Feb 5, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Optivest, Inc. · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 949-363-8686reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- OPTIVESTINC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 949-363-8686reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- optivestinc.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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026