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••••• C•••••• M•••••••••
Legal name O••••• C•••••• M••••••••• L••
Latest filing Apr 22, 2026
First filing on the tape Feb 24, 2025 · 10 filings
SEC status approved since Feb 18, 2025
RAUM
$150M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$130M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$37.6M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$150M as of Apr 22, 2026
Feb 24, 2025$117M then
HNW client RAUM$70.4M as of Apr 22, 2026
Feb 24, 2025$52.2M then
State-registered IARs (5.B.3)4 as of Apr 22, 2026
Feb 24, 20254 then
Employees (5.A)4 as of Apr 22, 2026
Feb 24, 20254 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 4 to 4offices 1 to 2
Practice profile
derived from the filing of Apr 22, 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
- $37.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $352,037derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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$70.4M47%
- Individuals$59.9M40%
- Pension and profit-sharing plans$20.1M13%
- Individual clients
- 179reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 427reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• E•••••• | Tempe, Az | Nov 14, 2019 | 23 y | 1 |
| T••• M•••••• B••••••Certified Financial Planner | Tempe, Az | Nov 14, 2019 | 13 y | 1 |
| C•••••• C•••• S•••••••• | Fort Lauderdale, Fl | May 6, 2021 | 10 y | 1 |
| A•••••••• C••• P•••• | Tempe, Az | Feb 29, 2024 | 12 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
- A••••• T••••• M••• to D•• W••••• M•••••••••Nov 4, 2020 · RIA to RIA
Joined, latest
- C•••••• C•••• S•••••••• from M••••• S••••••May 6, 2021 · Wirehouse to independent RIA
- J••••••• E•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 14, 2019 · Wirehouse to independent RIA
- T••• M•••••• B•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 14, 2019 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Tempe, Az · principal | 4 | 0 | 0 | ||
| Scottsdale, Az | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 425 to 427Jan 15, 2026 to Mar 30, 2026
- Discretionary RAUM · $150M to $150MJan 15, 2026 to Mar 30, 2026
- Individual RAUM · $59.9M to $59.9MJan 15, 2026 to Mar 30, 2026
- RAUM · $150M to $150MJan 15, 2026 to Mar 30, 2026
- Accounts · 340 to 425Dec 16, 2025 to Jan 15, 2026
- Advisory activities · 7 to 6Dec 16, 2025 to Jan 15, 2026
- HNW clients · 28 to 36Dec 16, 2025 to Jan 15, 2026
- Individual clients · 134 to 179Dec 16, 2025 to Jan 15, 2026
- Pension plan clients · 1.0 to unsetDec 16, 2025 to Jan 15, 2026
- Discretionary RAUM · $117M to $150MDec 16, 2025 to Jan 15, 2026
- HNW RAUM · $52.2M to $70.4MDec 16, 2025 to Jan 15, 2026
- Individual RAUM · $46.4M to $59.9MDec 16, 2025 to Jan 15, 2026
- Pension RAUM · $17.9M to $20.1MDec 16, 2025 to Jan 15, 2026
- RAUM · $117M to $150MDec 16, 2025 to Jan 15, 2026
- Advisory activities · 6 to 7Nov 12, 2025 to Dec 16, 2025
- Other offices · 1 to 2Jul 16, 2025 to Aug 7, 2025
- Financial planning clients · 101-250 to 101-250May 23, 2025 to Jul 16, 2025
Signals
No event on the tape.
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@optimacapitalmgt.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 480-757-9052reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/optima-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- optimacapitalmgt.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-757-9052reportedpublic record, Form ADV, Apr 22, 2026
- Contact form
- optimacapitalmgt.com/connectreportedpublished 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
- $37.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026