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RIA / WealthAdvisorChartered Financial Consultant42 years in industry

DIANA MAE ATHA

Advisor at WATERROCK WEALTH MANAGEMENT

Lincoln, CA | ALBUQUERQUE, NM

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Search this name across graphsid dfx:ria:19dbca32-17ef-145f-ec64-5723b8318b6b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 23, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WATERROCK WEALTH MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Consultant
Exams: S63
First exam: Apr 13, 2011
First registration: Oct 23, 2002
Dual registered: no
Other names: DIANA MAE BORROEL|Diana M Borroel
IAPD individual key: 1456850

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WATERROCK WEALTH MANAGEMENT	Independent wealth	Aug 15, 2023	n/a	yes	Lincoln, CA\|ALBUQUERQUE, NM	Current employment
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC	Former SEC adviser	Mar 16, 2014	Dec 16, 2014	no	ELIZABETH CITY, NC\|PETALUMA, CA	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Apr 26, 2011	Aug 5, 2013	no	ELIZABETH CITY, NC\|ELK GROVE, CA	Previous registration
EAGLE STRATEGIES LLC	Bd affiliated wealth	Oct 23, 2002	Oct 26, 2005	no	ELK GROVE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC	WATERROCK WEALTH MANAGEMENT	Dec 16, 2014	Aug 15, 2023	3,164	Firm change after gap	Other
PRINCIPAL SECURITIES, INC.	ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC	Aug 5, 2013	Mar 16, 2014	223	Firm change	Other
EAGLE STRATEGIES LLC	PRINCIPAL SECURITIES, INC.	Oct 26, 2005	Apr 26, 2011	2,008	Firm change after gap	Other

Relationships

Registered with (4)

→ WATERROCK WEALTH MANAGEMENTRegistered adviserregistration: current employment
Aug 15, 2023 to presentfactForm ADV
→ ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Mar 16, 2014 to Dec 16, 2014factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Apr 26, 2011 to Aug 5, 2013factForm ADV
→ EAGLE STRATEGIES LLCRegistered adviserregistration: previous registration
Oct 23, 2002 to Oct 26, 2005factForm ADV

Dated events

No dated event names this entity yet.