DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
John Louis Diaz
Feed of 09/14/2026
Also filed as John Louis Diaz
At current firm
11 y
since Jan 21, 2015
In the industry
41 y
since Feb 19, 1985 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Premier Wealth Advisors, LLC independent RIA currentsince Jan 21, 2015 · New York, Ny
- Cetera Investment Advisers LLC BD affiliatedNov 12, 2020 to Nov 27, 2024 · New York, Ny
- First Allied Advisory Services, Inc. formerJul 2, 2012 to Nov 12, 2020 · Chesterfield, Mo
- First Allied Securities, Inc. formerApr 23, 2004 to Jul 2, 2012 · New York, Ny
- Nathan & Lewis Securities, Inc. unclassifiedFeb 12, 1993 to Jul 23, 2003 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Cetera Investment Advisers LLC to no registered destinationleft Nov 27, 2024 · Departure, no registered destination
- First Allied Advisory Services, Inc. to Premier Wealth Advisors, LLCleft Nov 12, 2020, registered Jan 21, 2015 (-2122 days) · Other · moved with a team
- First Allied Securities, Inc. to First Allied Advisory Services, Inc.left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- Nathan & Lewis Securities, Inc. to First Allied Securities, Inc.left Jul 23, 2003, registered Apr 23, 2004 (275 days) · Other
Signals
- John Louis Diaz no longer registered at Cetera Investment Advisers Llc; no later IA registration on IAPDNov 27, 2024 · Advisor departure · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address