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••••••• F•••••••• I•••
Latest filing Jun 30, 2026
First filing on the tape Sep 15, 2021 · 19 filings
SEC status approved since Oct 14, 2021
RAUM
$222M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
9.7%
$21.5M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$73.9M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$222M as of Jun 30, 2026
Feb 3, 2022$79.9M then
HNW client RAUM$20.5M as of Jun 30, 2026
Feb 3, 2022$69.2M then
State-registered IARs (5.B.3)2 as of Jun 30, 2026
Feb 3, 20223 then
Employees (5.A)8 as of Jun 30, 2026
Feb 3, 20228 then
Private funds: no history
RAUM +26% over the last fiscal year+30% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
- RAUM per advisor
- $73.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $380,217derivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for investment companiesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$200M90%
- High-net-worth individuals$20.5M9.3%
- Individuals$1.0M0.5%
- Individual clients
- 45reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 100reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.1 fund_share=0.9 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• E•••••••• W••••••Certified Financial Planner | Irvine, Ca | Oct 14, 2021 | 13 y | 2 |
| L••• H•• N•••••Certified Financial Planner | Irvine, Ca | Oct 14, 2021 | 16 y | 1 |
| J••• D•••• W••••••• | Irvine, Ca | Oct 18, 2023 | 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 headcount2 left over 36 months
Left, latest
- S•••• V•••••• C••• to S••••• W••••• A•••••••• I•••Mar 28, 2024 · Other
- C••••• W••••• M••••• to P•••• S••••••••• L••Jan 9, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- C•••• E•••••••• W•••••• from W•••• F•••• A•••••••Oct 14, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S•••• V•••••• C••• from W•••• F•••• A•••••••Oct 14, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- L••• H•• N••••• from W•••• F•••• A•••••••Oct 14, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••• F•••• A•••••••Oct 18, 2021 · Irvine, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• C••••• E•••••••• · Chief Executive Officer And Managing Membercontrolsince 09/2021 · owns 75% or more
- M••••••••• T•••• E•••••••• · Chief Compliance Officersince 01/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · LAGUNA HILLS to IRVINEMar 31, 2026 to Jun 30, 2026
- Discretionary RAUM · $185M to $222MJul 4, 2025 to Mar 31, 2026
- HNW RAUM · $11.3M to $20.5MJul 4, 2025 to Mar 31, 2026
- Individual RAUM · $2.0M to $1.0MJul 4, 2025 to Mar 31, 2026
- RAUM · $185M to $222MJul 4, 2025 to Mar 31, 2026
- Accounts · 99 to 100Jul 4, 2025 to Mar 31, 2026
- Advisory employees · 4 to 3Jul 4, 2025 to Mar 31, 2026
- Advisory activities · 2 to 3Jul 4, 2025 to Mar 31, 2026
- HNW clients · 40 to 54Jul 4, 2025 to Mar 31, 2026
- Individual clients · 58 to 45Jul 4, 2025 to Mar 31, 2026
- Employees · 7 to 8Jul 4, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 51-100Jul 4, 2025 to Mar 31, 2026
- Accounts · 105 to 99Apr 9, 2025 to Jul 4, 2025
- HNW clients · 37 to 40Apr 9, 2025 to Jul 4, 2025
- Individual clients · 67 to 58Apr 9, 2025 to Jul 4, 2025
- Financial planning clients · 1-10 to 1-10Apr 9, 2025 to Jul 4, 2025
- Discretionary RAUM · $176M to $185MApr 9, 2025 to Jul 4, 2025
- HNW RAUM · $10.1M to $11.3MApr 9, 2025 to Jul 4, 2025
- Individual RAUM · $3.0M to $2.0MApr 9, 2025 to Jul 4, 2025
- RAUM · $176M to $185MApr 9, 2025 to Jul 4, 2025
- Accounts · 124 to 105Mar 28, 2024 to Apr 9, 2025
- Advisory employees · 5 to 4Mar 28, 2024 to Apr 9, 2025
- HNW clients · 47 to 37Mar 28, 2024 to Apr 9, 2025
- Individual clients · 77 to 67Mar 28, 2024 to Apr 9, 2025
- Employees · 8 to 7Mar 28, 2024 to Apr 9, 2025
- Discretionary RAUM · $152M to $176MMar 28, 2024 to Apr 9, 2025
- HNW RAUM · $23.0M to $10.1MMar 28, 2024 to Apr 9, 2025
- Individual RAUM · $129M to $3.0MMar 28, 2024 to Apr 9, 2025
- RAUM · $152M to $176MMar 28, 2024 to Apr 9, 2025
- Accounts · 642 to 124Jan 22, 2024 to Mar 28, 2024
- Advisory employees · 2 to 5Jan 22, 2024 to Mar 28, 2024
- HNW clients · 44 to 47Jan 22, 2024 to Mar 28, 2024
- Individual clients · 76 to 77Jan 22, 2024 to Mar 28, 2024
- Assets in custody · 101360962.0 to unsetJan 22, 2024 to Mar 28, 2024
- Custody of client assets · true to falseJan 22, 2024 to Mar 28, 2024
- Employees · 13 to 8Jan 22, 2024 to Mar 28, 2024
- Discretionary RAUM · $99.1M to $152MJan 22, 2024 to Mar 28, 2024
- HNW RAUM · $83.7M to $23.0MJan 22, 2024 to Mar 28, 2024
- Individual RAUM · $17.7M to $129MJan 22, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $2.3M to $0Jan 22, 2024 to Mar 28, 2024
Signals
3 dated events
- S•••• V•••••• C••• left O••••••• F•••••••• I••• for S••••• W••••• A•••••••• I••• (registered 2024-03-27)Mar 28, 2024 · Advisor changed firm · fact
- C••••• W••••• M••••• left O••••••• F•••••••• I••• for P•••• S••••••••• L•• (registered 2024-02-23)Jan 9, 2024 · Advisor changed firm · fact
- O••••••• F•••••••• I••• filed its initial SEC registration (Form ADV)Sep 15, 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
- Firm profile
- linkedin.com/company/optimize-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- optimizefinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-471-0000reportedpublic record, Form ADV, Jun 30, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $73.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026