Roger Diaz is a registered investment advisor at Dearborn Partners L.L.C., based in Manhattan Beach, CA, with 31 years of industry experience. Roger operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 285 clients with $3.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Dearborn Partners charges a percentage of your assets annually for investment management. The specific rate depends on the investment strategy and the amount of assets in your account, generally ranging from 0.25% to 1.00%.
Individual client accounts that use Janus Capital Management as a sub-advisor pay an additional 0.50% annual fee. Individual client accounts that use ARK Investment Management as a sub-advisor pay an additional 0.45% annual fee.
Location
Manhattan Beach, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Roger is a sales director at Dearborn Partners, LLC, an investment management firm, focusing on business development and service. This activity is investment-related and takes nearly full-time.
Employment History
Current Registrations
Dearborn Partners L.L.C.
Quasar Distributors, LLC
Quasar Distributors, LLCBroker
Previous Registrations
Delaware Distributors, L.P.Broker
Delaware Capital Management Advisers, INC
Tcw Funds DistributorsBroker
Tcw Investment Management CO
Putnam Investment Management, LLC
Putnam Retail Management Limited PartnershipBroker
Planco Financial Services, INC.Broker
Dean Witter Reynolds INC.Broker
Smith Barney INC.Broker
Prudential Securities IncorporatedBroker
Reynolds Kendrick Stratton, INC.Broker
State Registrations13 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.