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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

DIAMANT ASSET MANAGEMENT, INC.

CRD 107788

RIDGEFIELD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:929dff56-8fd7-8859-1b85-158b7cc9b14b

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Feb 28, 2012 to Mar 24, 2026
35 observations

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

Firm class: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $212MItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $212M
Private client RAUM: $205MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $70.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 59
Individual clients: 0
High net worth clients: 59
SEC number: 801-28801
CIK: 1731124
CRD: 107788
Filings on the tape: 35
First filed: Feb 28, 2012
Latest filed: Mar 24, 2026
Organised: Corporation, CT
Website: portfolioadvisor.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
HERBERT ARTHUR DIAMANT	n/a	RIDGEFIELD, CT	39	48	n/a	no
Sheila Morgan	n/a	RIDGEFIELD, CT	5	10	1	no
JEFFREY LEE SPEIGHT	n/a	RIDGEFIELD, CT	0	26	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DIAMANT, HERBERT, ARTHUR	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	10/1986	Feb 28, 2012	Oct 7, 2024
Diamant, Lisette	VICE-PRESIDENT	Na	yes	06/2020	Jul 10, 2020	Oct 7, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 24, 2026	$212M	$212M	3	3	0	n/a	n/a
2024	Mar 25, 2025	$234M	$234M	2	2	0	n/a	n/a
2023	Mar 21, 2024	$211M	$211M	3	3	0	n/a	n/a
2022	Mar 15, 2023	$181M	$181M	3	3	0	n/a	n/a
2021	Mar 22, 2022	$196M	$196M	3	3	0	n/a	n/a
2020	Mar 11, 2021	$171M	$171M	3	3	0	n/a	n/a
2019	Mar 5, 2020	$176M	$176M	4	3	0	n/a	n/a
2018	Mar 21, 2019	$150M	$150M	4	3	0	n/a	n/a
2017	Mar 9, 2018	$172M	$172M	4	3	0	n/a	n/a
2016	Mar 23, 2017	$150M	$90.3M	4	3	n/a	n/a	n/a
2015	Mar 7, 2016	$151M	$88.8M	4	2	n/a	n/a	n/a
2014	Mar 12, 2015	$157M	$90.4M	4	2	n/a	n/a	n/a
2013	Mar 14, 2014	$144M	$74.9M	4	2	n/a	n/a	n/a
2012	Mar 11, 2013	$132M	$77.3M	4	2	n/a	n/a	n/a
2011	Feb 28, 2012	$154M	$47.3M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$212M	$234M	-9.6%	$181M	5.4%	3	2	0	0

Relationships

Registered with (4)

← JEFFREY LEE SPEIGHTAdvisorregistration: current employment
Dec 1, 2025 to presentfactForm ADV
← Sheila MorganAdvisorregistration: current employment
Feb 11, 2021 to presentfactForm ADV
← HERBERT ARTHUR DIAMANTAdvisorregistration: current employment
Aug 19, 1987 to presentfactForm ADV
← EVELYN ELIZABETH BREENAdvisorregistration: previous registration
Apr 27, 2016 to Apr 29, 2022factForm ADV

Controls (2)

← DIAMANT, HERBERT, ARTHUROwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 28, 2012 to Oct 7, 2024factForm ADV
← Diamant, LisetteOwnerVICE-PRESIDENT, ownership code NA, individual
Jul 10, 2020 to Oct 7, 2024factForm ADV

Dated events

Occurred
Apr 29, 2022
Advisor changed firm
Evelyn Elizabeth Breen left Diamant Asset Management, Inc. for Retirement Income Solutions, Inc. (registered 2022-05-04)
Form ADVobserved 6 days ago
Occurred
Jul 10, 2020
Control person left
Marie Martha Diamant (Vice-President) no longer on Schedule A of Diamant Asset Management, Inc. (listed 2020-06-29, absent 2020-07-10)
Form ADVobserved 6 days ago
Occurred
Jul 10, 2020
Control person joined
Lisette Diamant (Vice-President) appeared on Schedule A of Diamant Asset Management, Inc.
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:929dff56-8fd7-8859-1b85-158b7cc9b14b
First observed: Feb 28, 2012
Last observed: Mar 24, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

DIAMANT ASSET MANAGEMENT, INC.

CRD 107788

RIDGEFIELD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:929dff56-8fd7-8859-1b85-158b7cc9b14b

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:45 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

HERBERT ARTHUR DIAMANT

n/a

RIDGEFIELD, CT

n/a

Sheila Morgan

n/a

RIDGEFIELD, CT

JEFFREY LEE SPEIGHT

n/a

RIDGEFIELD, CT

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DIAMANT, HERBERT, ARTHUR

PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

10/1986

Feb 28, 2012

Oct 7, 2024

Diamant, Lisette

VICE-PRESIDENT

yes

06/2020

Jul 10, 2020

Oct 7, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$212M

n/a

2024

Mar 25, 2025

$234M

n/a

2023

Mar 21, 2024

$211M

n/a

2022

Mar 15, 2023

$181M

n/a

2021

Mar 22, 2022

$196M

n/a

2020

Mar 11, 2021

$171M

n/a

2019

Mar 5, 2020

$176M

n/a

2018

Mar 21, 2019

$150M

n/a

2017

Mar 9, 2018

$172M

n/a

2016

Mar 23, 2017

$150M

$90.3M

n/a

2015

Mar 7, 2016

$151M

$88.8M

n/a

2014

Mar 12, 2015

$157M

$90.4M

n/a

2013

Mar 14, 2014

$144M

$74.9M

n/a

2012

Mar 11, 2013

$132M

$77.3M

n/a

2011

Feb 28, 2012

$154M

$47.3M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$212M

$234M

-9.6%

$181M

5.4%