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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PREMIER WEALTH ADVISORS, LLC

CRD 120358

NEW YORK, NY

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:a95679fc-5c2b-8f34-9ce8-5506745516bb

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 3
On other graphs: 0
Observed: Jun 6, 2013 to Mar 27, 2026
26 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=0.81 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $555MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $537M
Private client RAUM: $448MderivedItem 5.D individuals plus high net worth individuals
Private client share: 81%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $92.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 741
Individual clients: 363
High net worth clients: 251
Custody, client assets: $363,839
SEC number: 801-78204
CRD: 120358
Filings on the tape: 26
First filed: Jun 6, 2013
Latest filed: Mar 27, 2026
Organised: Limited Liability Company, NY

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
RUSSELL C BAILYN	n/a	NEW YORK, NY	11	24	3	no
JOHN LOUIS DIAZ	n/a	NEW YORK, NY	11	41	4	no
JEFFREY ALAN KERMAN	n/a	NEW YORK, NY	9	18	4	no
DEBRA GAIL BURNHAM	n/a	NEW YORK, NY	5	42	1	no
GREGORY WALTER RICKENS	n/a	NEW YORK, NY	5	20	1	no
Edward Paul Mally	Chartered Financial Analyst	NEW YORK, NY	4	38	1	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
DIAZ, JOHN, LOUIS	President	E	yes	05/1992	Jun 6, 2013	Dec 20, 2024
DIAZ, JOHN, LOUIS	CHIEF COMPLIANCE OFFICER AND PRESIDENT	Na	yes	05/1992	Jun 6, 2013	Dec 20, 2024
PREMIER FINANCIAL SERVICES, INC.	MANAGING MEMBER	E	yes	09/1999	Jun 6, 2013	Dec 20, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Uniondale	NY	United States	1	yes

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 27, 2026	$555M	$537M	9	6	1	n/a	n/a
2024	Mar 21, 2025	$523M	$523M	9	6	1	n/a	n/a
2023	Mar 27, 2024	$432M	$432M	10	7	1	n/a	n/a
2022	Mar 27, 2023	$343M	$343M	10	7	1	n/a	n/a
2021	Mar 21, 2022	$306M	$306M	7	7	1	n/a	n/a
2020	Mar 9, 2021	$251M	$251M	6	6	1	n/a	n/a
2019	Mar 2, 2020	$223M	$223M	8	8	2	n/a	n/a
2018	Mar 26, 2019	$291M	$291M	9	9	2	n/a	n/a
2017	Mar 28, 2018	$255M	$255M	10	10	2	n/a	n/a
2016	Mar 23, 2017	$201M	$201M	8	7	n/a	n/a	n/a
2015	Mar 28, 2016	$168M	$168M	7	7	n/a	n/a	n/a
2014	Mar 25, 2015	$135M	$135M	7	7	n/a	n/a	n/a
2013	Mar 31, 2014	$104M	$90.6M	9	7	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	1

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	$555M	$523M	6.1%	$343M	17.4%	9	9	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CETERA INVESTMENT ADVISERS LLC	2	Oct 20, 2022	Aug 30, 2021	NEW YORK, NY	Team lift out	Ibd to RIA	0.1%
FIRST ALLIED ADVISORY SERVICES, INC.	4	Nov 12, 2020	Jun 14, 2017	NEW YORK, NY	Team lift out	Ibd to RIA	0.9%

Relationships

Registered with (9)

← Edward Paul MallyAdvisorregistration: current employment
Jan 14, 2022 to presentfactForm ADV
← DEBRA GAIL BURNHAMAdvisorregistration: current employment
Aug 30, 2021 to presentfactForm ADV
← GREGORY WALTER RICKENSAdvisorregistration: current employment
Aug 30, 2021 to presentfactForm ADV
← JEFFREY ALAN KERMANAdvisorregistration: current employment
Sep 29, 2016 to presentfactForm ADV
← JOHN LOUIS DIAZAdvisorregistration: current employment
Jan 21, 2015 to presentfactForm ADV
← RUSSELL C BAILYNAdvisorregistration: current employment
Jan 5, 2015 to presentfactForm ADV
← DAVID AARON VOLKMANAdvisorregistration: previous registration
Jun 14, 2017 to Dec 6, 2024factForm ADV
← KENNETH WALTER RICKENSAdvisorregistration: previous registration
Jun 27, 2013 to Mar 18, 2020factForm ADV
← MARK MATTHEW MARTIAKAdvisorregistration: previous registration
May 18, 2015 to Aug 16, 2019factForm ADV

Controls (2)

← DIAZ, JOHN, LOUISOwnerPRESIDENT, ownership code E, individual
Jun 6, 2013 to Dec 20, 2024factForm ADV
← PREMIER FINANCIAL SERVICES, INC.OwnerMANAGING MEMBER, ownership code E, domestic entity
Jun 6, 2013 to Dec 20, 2024factForm ADV

Moved with (2)

← CETERA INVESTMENT ADVISERS LLCRegistered adviser2 advisors, team lift out, same day
Oct 20, 2022 to Aug 30, 2021factForm ADV
← FIRST ALLIED ADVISORY SERVICES, INC.Registered adviser4 advisors, team lift out, same day
Nov 12, 2020 to Jun 14, 2017factForm ADV

Dated events

Occurred
Dec 6, 2024
Advisor changed firm
David Aaron Volkman left Premier Wealth Advisors, Llc for Cetera Investment Advisers Llc (registered 2021-03-31)
Form ADVobserved 4 days ago
Occurred
Oct 20, 2022
Team lift-out
2 advisors left Cetera Investment Advisers LLC (New York, NY) for Premier Wealth Advisors, LLC on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Jun 6, 2013
First Form ADV filing
Premier Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a95679fc-5c2b-8f34-9ce8-5506745516bb
First observed: Jun 6, 2013
Last observed: Mar 27, 2026 5 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.

PREMIER WEALTH ADVISORS, LLC

CRD 120358

NEW YORK, NY

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:a95679fc-5c2b-8f34-9ce8-5506745516bb

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:05 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RUSSELL C BAILYN

n/a

NEW YORK, NY

JOHN LOUIS DIAZ

n/a

NEW YORK, NY

JEFFREY ALAN KERMAN

n/a

NEW YORK, NY

DEBRA GAIL BURNHAM

n/a

NEW YORK, NY

GREGORY WALTER RICKENS

n/a

NEW YORK, NY

Edward Paul Mally

Chartered Financial Analyst

NEW YORK, NY

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DIAZ, JOHN, LOUIS

President

yes

05/1992

Jun 6, 2013

Dec 20, 2024

DIAZ, JOHN, LOUIS

CHIEF COMPLIANCE OFFICER AND PRESIDENT

yes

05/1992

Jun 6, 2013

Dec 20, 2024

PREMIER FINANCIAL SERVICES, INC.

MANAGING MEMBER

yes

09/1999

Jun 6, 2013

Dec 20, 2024

City

State

Country

Employees

Also broker-dealer

Uniondale

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$555M

$537M

n/a

2024

Mar 21, 2025

$523M

n/a

2023

Mar 27, 2024

$432M

n/a

2022

Mar 27, 2023

$343M

n/a

2021

Mar 21, 2022

$306M

n/a

2020

Mar 9, 2021

$251M

n/a

2019

Mar 2, 2020

$223M

n/a

2018

Mar 26, 2019

$291M

n/a

2017

Mar 28, 2018

$255M

n/a

2016

Mar 23, 2017

$201M

n/a

2015

Mar 28, 2016

$168M

n/a

2014

Mar 25, 2015

$135M

n/a

2013

Mar 31, 2014

$104M

$90.6M

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

$555M

$523M

6.1%

$343M

17.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CETERA INVESTMENT ADVISERS LLC

Oct 20, 2022

Aug 30, 2021

NEW YORK, NY

Team lift out

Ibd to RIA

0.1%

FIRST ALLIED ADVISORY SERVICES, INC.

Nov 12, 2020

Jun 14, 2017

NEW YORK, NY

Team lift out

Ibd to RIA

0.9%