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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
O••••• C•••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 4, 2021 · 15 filings
SEC status approved since Apr 5, 2021
RAUM
$380M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$380M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$63.3M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$380M as of Mar 19, 2026
Mar 30, 2022$130M then
HNW client RAUM$179M as of Mar 19, 2026
Mar 30, 2022$72.4M then
State-registered IARs (5.B.3)7 as of Mar 19, 2026
Mar 30, 20223 then
Employees (5.A)7 as of Mar 19, 2026
Mar 30, 20223 then
Private funds: no history
RAUM +30% over the last fiscal year+33% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $63.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $240,217derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 660reportedItem 5.H
- Custody
- $3.5M, 97 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)
- 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)
- 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
- Individuals$201M53%
- High-net-worth individuals$179M47%
- Corporations and businesses$106,8630.0%
- Individual clients
- 590reported
- HNW clients
- 81reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,581reported
- Financial planning clients
- 660reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.5M for 97 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• A•••• B••••Certified Financial Planner | Beaverton, Or | Sep 14, 2020 | 13 y | 4 |
| D•••• M•••••• E•••• | Liberty, Mo | Dec 7, 2020 | 13 y | 2 |
| B•••••• A• J••••••• | Beaverton, Or | Apr 23, 2021 | 13 y | 2 |
| R••••• W•••• L••••• | Visalia, Ca | Aug 16, 2022 | 25 y | 3 |
| T•••• D••••• W••••Certified Financial Planner | Beaverton, Or | Oct 21, 2022 | 31 y | 5 |
| K••• B•••••• H••••• | Visalia, Ca | Mar 7, 2023 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- V••••••• L•• C••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 20, 2026 · RIA to wirehouse
Joined, latest
- T•••• D••••• W•••• from O••••• C•••••• L••Oct 21, 2022 · Other
- R••••• W•••• L••••• from O••••• C•••••• L••Aug 16, 2022 · Other
- B•••••• A• J••••••• from P•••••• F•••••••• P•••••••• L••Apr 23, 2021 · Other
- D•••• M•••••• E•••• from P•••••• F•••••••• P•••••••• L••Dec 7, 2020 · Other
- J••••• A•••• B•••• from O••••• C•••••• L••Sep 14, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••••• A•••• · Managing Member/Chief Operating Officercontrolsince 07/2023 · owns 50% to 75%
- W••••• T••••• D••••• · Managing Member/Chief Compliance Officercontrolsince 07/2023 · owns 25% to 50%
Related persons
Schedule D 7.A
- E••• T••••• C••• P•insurancen
- P••••••• I•••••••• A•••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Beaverton, Or · principal | 6 | 0 | 1 | ||
| Visalia, Ca | 2 | 0 | 0 | ||
| Liberty, Mo | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Liberty, MO2 employees
- Visalia, CA2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,409 to 1,581Oct 27, 2025 to Mar 19, 2026
- Corporate clients · 2 to 1Oct 27, 2025 to Mar 19, 2026
- HNW clients · 73 to 81Oct 27, 2025 to Mar 19, 2026
- Individual clients · 539 to 590Oct 27, 2025 to Mar 19, 2026
- Assets in custody · $12.4M to $3.5MOct 27, 2025 to Mar 19, 2026
- Discretionary RAUM · $293M to $380MOct 27, 2025 to Mar 19, 2026
- HNW RAUM · $146M to $179MOct 27, 2025 to Mar 19, 2026
- Individual RAUM · $146M to $201MOct 27, 2025 to Mar 19, 2026
- RAUM · $293M to $380MOct 27, 2025 to Mar 19, 2026
- Accounts · 1,375 to 1,409Mar 21, 2024 to Mar 13, 2025
- Advisory employees · 6 to 7Mar 21, 2024 to Mar 13, 2025
- Corporate clients · unset to 2.0Mar 21, 2024 to Mar 13, 2025
- HNW clients · 47 to 73Mar 21, 2024 to Mar 13, 2025
- Individual clients · 614 to 539Mar 21, 2024 to Mar 13, 2025
- Assets in custody · $17.1M to $12.4MMar 21, 2024 to Mar 13, 2025
- Employees · 6 to 7Mar 21, 2024 to Mar 13, 2025
- Financial planning clients · 251-500 to More than 500Mar 21, 2024 to Mar 13, 2025
- State-registered IARs · 6 to 7Mar 21, 2024 to Mar 13, 2025
- Discretionary RAUM · $248M to $293MMar 21, 2024 to Mar 13, 2025
- HNW RAUM · $97.3M to $146MMar 21, 2024 to Mar 13, 2025
- Individual RAUM · $150M to $146MMar 21, 2024 to Mar 13, 2025
- RAUM · $248M to $293MMar 21, 2024 to Mar 13, 2025
- Accounts · 937 to 1,375Nov 2, 2023 to Mar 21, 2024
- Advisory employees · 5 to 6Nov 2, 2023 to Mar 21, 2024
- HNW clients · 45 to 47Nov 2, 2023 to Mar 21, 2024
- Individual clients · 451 to 614Nov 2, 2023 to Mar 21, 2024
- Assets in custody · $99.3M to $17.1MNov 2, 2023 to Mar 21, 2024
- Employees · 5 to 6Nov 2, 2023 to Mar 21, 2024
- HQ city · HILLSBORO to BEAVERTONNov 2, 2023 to Mar 21, 2024
- State-registered IARs · 5 to 6Nov 2, 2023 to Mar 21, 2024
- Discretionary RAUM · $161M to $248MNov 2, 2023 to Mar 21, 2024
- HNW RAUM · $74.6M to $97.3MNov 2, 2023 to Mar 21, 2024
- Individual RAUM · $86.5M to $150MNov 2, 2023 to Mar 21, 2024
- RAUM · $161M to $248MNov 2, 2023 to Mar 21, 2024
- Accounts · 701 to 937Nov 1, 2022 to Mar 21, 2023
- Advisory employees · 3 to 5Nov 1, 2022 to Mar 21, 2023
- BD registered reps · 0 to 1Nov 1, 2022 to Mar 21, 2023
- HNW clients · 39 to 45Nov 1, 2022 to Mar 21, 2023
- Individual clients · 316 to 451Nov 1, 2022 to Mar 21, 2023
- Assets in custody · $20.1M to $99.3MNov 1, 2022 to Mar 21, 2023
Signals
3 dated events
- V••••••• L•• C••••• left O••••• C•••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-06-01)May 20, 2026 · Advisor changed firm · fact
- Dennis Tobin Wills (Managing Member/Chief Compliance Officer) appeared on Schedule A of O••••• C•••••• L••Aug 10, 2023 · Control person joined · fact
- O••••• C•••••• L•• filed its initial SEC registration (Form ADV)Mar 4, 2021 · 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
- admin@optimacapitalllc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- rob@optimacapitalllc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- toby@optimacapitalllc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 559-734-0419reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 503-270-1314reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 559-623-2947reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- optimacapitalllc.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 503-270-1314reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- optimacapitalllc.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- optimacapitalllc.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- $63.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026