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
Optimus Capital Advisors, LLC
Latest filing Mar 13, 2026
First filing on the tape Nov 10, 2011 · 13 filings
SEC status approved since Jul 28, 2023
RAUM
$264M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$198M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$264M as of Mar 13, 2026
Mar 13, 2012$29.7M then
HNW client RAUM$160M as of Mar 13, 2026
Mar 19, 2024$86.3M then
State-registered IARs (5.B.3)4 as of Mar 13, 2026
Mar 13, 20120 then
Employees (5.A)4 as of Mar 13, 2026
Mar 19, 20244 then
Private funds: no history
RAUM +7.8% over the last fiscal yearIARs 2 to 4
Practice profile
derived from the filing of Mar 13, 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
- RAUM per advisor
- $66.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $495,570derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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$160M61%
- Corporations and businesses$60.8M23%
- Individuals$37.8M14%
- Charitable organizations$5.7M2.1%
- Individual clients
- 147reported
- HNW clients
- 44reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 533reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.75 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months3 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- Jack W Luna to Wpwealth LlpSep 10, 2026 · RIA to RIA
- John Christian Gesek to Wpwealth LlpSep 10, 2026 · RIA to RIA
- James Patrick Gonzales to Wpwealth LlpSep 10, 2026 · RIA to RIA
- John Christian Gesek to Coppell Advisory Solutions LLCDec 31, 2013 · Other
- Anthony Francis Apollaro to Coppell Advisory Solutions LLCNov 11, 2011 · Other
Joined, latest
- James Patrick Gonzales from Charles Schwab & Co., Inc.Apr 24, 2025 · Affiliated broker-dealer or bank to independent RIA
- John Christian Gesek from Coppell Advisory Solutions LLCJan 15, 2014 · Other
- Jack W Luna from Wfg Investments, Inc.Jan 5, 2011 · Other
- Anthony Francis Apollaro from Mckeel Capital ManagementAug 13, 2008 · Other
- John Christian Gesek from Mckeel Capital ManagementAug 13, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Wpwealth LlpSep 10, 2026 · Coppell, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Christian John Gesek · Managing Member/Chief Compliance Officercontrolsince 04/2008 · 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 |
|---|---|---|---|---|---|
| Coppell, Tx · principal | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Mar 13, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $245,070,299 to $264,138,598, advisors 2 to 4, private clients 166 to 191, offices 0 to 0 (2025-03-03 to 2026-03-13)peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Mar 13, 2026private-client share of RAUM moved from 98.0% to 75.0% between the annual amendments of 2025-03-03 and 2026-03-13peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 13, 2026HNW share of RAUM moved from 83.0% to 61.0% between the annual amendments of 2025-03-03 and 2026-03-13peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Mar 13, 2026institutional share of RAUM moved from 2.0% to 25.0% between the annual amendments of 2025-03-03 and 2026-03-13peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 471 to 533Mar 3, 2025 to Mar 13, 2026
- Advisory employees · 2 to 4Mar 3, 2025 to Mar 13, 2026
- Corporate clients · 0 to 1Mar 3, 2025 to Mar 13, 2026
- HNW clients · 36 to 44Mar 3, 2025 to Mar 13, 2026
- Individual clients · 130 to 147Mar 3, 2025 to Mar 13, 2026
- Employees · 3 to 4Mar 3, 2025 to Mar 13, 2026
- State-registered IARs · 2 to 4Mar 3, 2025 to Mar 13, 2026
- Discretionary RAUM · $245M to $263MMar 3, 2025 to Mar 13, 2026
- HNW RAUM · $203M to $160MMar 3, 2025 to Mar 13, 2026
- Individual RAUM · $36.3M to $37.8MMar 3, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $543,959 to $1.0MMar 3, 2025 to Mar 13, 2026
- RAUM · $245M to $264MMar 3, 2025 to Mar 13, 2026
- Accounts · 445 to 471Nov 22, 2024 to Mar 3, 2025
- HNW clients · 20 to 36Nov 22, 2024 to Mar 3, 2025
- Individual clients · 142 to 130Nov 22, 2024 to Mar 3, 2025
- Pension plan clients · 27 to 0Nov 22, 2024 to Mar 3, 2025
- Employees · 4 to 3Nov 22, 2024 to Mar 3, 2025
- Financial planning clients · 1-10 to 1-10Nov 22, 2024 to Mar 3, 2025
- Discretionary RAUM · $129M to $245MNov 22, 2024 to Mar 3, 2025
- HNW RAUM · $86.3M to $203MNov 22, 2024 to Mar 3, 2025
- Individual RAUM · $37.3M to $36.3MNov 22, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $0 to $543,959Nov 22, 2024 to Mar 3, 2025
- Pension RAUM · $398,142 to $0Nov 22, 2024 to Mar 3, 2025
- RAUM · $129M to $245MNov 22, 2024 to Mar 3, 2025
- Accounts · 461 to 445Aug 9, 2023 to Mar 19, 2024
- HNW clients · 34 to 20Aug 9, 2023 to Mar 19, 2024
- Individual clients · 128 to 142Aug 9, 2023 to Mar 19, 2024
- Pension plan clients · 0 to 27Aug 9, 2023 to Mar 19, 2024
- Employees · 3 to 4Aug 9, 2023 to Mar 19, 2024
- Discretionary RAUM · $119M to $129MAug 9, 2023 to Mar 19, 2024
- HNW RAUM · $82.2M to $86.3MAug 9, 2023 to Mar 19, 2024
- Individual RAUM · $32.5M to $37.3MAug 9, 2023 to Mar 19, 2024
- Pension RAUM · $0 to $398,142Aug 9, 2023 to Mar 19, 2024
- RAUM · $119M to $129MAug 9, 2023 to Mar 19, 2024
- Accounts · 214 to 461Mar 13, 2012 to Jun 29, 2023
- Advisory employees · unset to 2.0Mar 13, 2012 to Jun 29, 2023
- Advisory activities · 5 to 3Mar 13, 2012 to Jun 29, 2023
- Charity clients · unset to 2.0Mar 13, 2012 to Jun 29, 2023
- Corporate clients · unset to 0.0Mar 13, 2012 to Jun 29, 2023
- HNW clients · unset to 34.0Mar 13, 2012 to Jun 29, 2023
Signals
6 dated events
- James Patrick Gonzales left Optimus Capital Advisors, Llc for Wpwealth Llp (registered 2026-09-09)Sep 10, 2026 · Advisor changed firm · fact
- John Christian Gesek left Optimus Capital Advisors, Llc for Wpwealth Llp (registered 2026-09-09)Sep 10, 2026 · Advisor changed firm · fact
- Jack W Luna left Optimus Capital Advisors, Llc for Wpwealth Llp (registered 2026-09-09)Sep 10, 2026 · Advisor changed firm · fact
- Optimus Capital Advisors, LLC's advisors moved to Wpwealth LLP (Coppell, TX): 3 of 3 registered, on the same daySep 10, 2026 · Firm absorbed (people side) · derived
- Optimus Capital Advisors, Llc reported RAUM $245.1M, up 90% from $129.1M (2024-11-22 to 2025-03-03)Mar 3, 2025 · RAUM change · derived
- Optimus Capital Advisors, Llc filed its initial SEC registration (Form ADV)Jun 29, 2023 · 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
- Firm profile
- linkedin.com/company/optimus-capital-advisors-dfw/?viewAsMemreportedpublic record, Form ADV, Sep 17, 2026
- Website
- OPTIMUSCA.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 972-745-7704reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- wpwealth.com/contact-formreportedpublished by the firm, firm site, Sep 17, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026