DIAZO, LLC
Adviser information for DIAZO, LLC last updated from Form ADV on February 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Nevada, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 467 | $132.7M |
| Non-Discretionary | 0 | $0 |
| Total | 467 | $132.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 205 | $88.3M |
| HNW Individuals | 33 | $44.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-127128 |
|---|---|
| SEC ERA File Number | 801-127128 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 324419 |
| Legal Entity Identifier | None |
Principal Office
2518 ANTHEM VILLAGE DR, SUITE 104HENDERSON
NV
United States
Monday - Friday, 7:00 A.M. TO 5:00 P.M.
Tel: 702-745-1800, Fax: N/A
Chief Compliance Officer
CAROLINE PAULE LAIACONA
CHIEF COMPLIANCE OFFICER
2518 ANTHEM VILLAGE DR, SUITE 104
HENDERSON
NV
United States
Tel:
702-745-1800
Fax:
N/A
I***@**************M
(Full email address available in API data)
Regulatory Contact
LAURA MARIE LONG
CHIEF EXECUTIVE OFFICER
2518 ANTHEM VILLAGE DR, SUITE 104
HENDERSON
NV
United States
Tel:
702-745-1800
Fax:
N/A
I***@**************M
(Full email address available in API data)
Industry Affiliates
| FINANCIAL FITNESS BENEFITS AND INSURANCE SOLUTIONS, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LONG, LAURA, MARIE | Individual | – | CHIEF EXECUTIVE OFFICER | 11/2022 | > 75% |
| LAIACONA, CAROLINE, PAULE | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2022 | < 5% |
| Crawley, Brian, Seth | Individual | – | EVP, WEALTH PLANNER | 11/2022 | < 5% |