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

Diana M Leon

Osaic Wealth, Inc.BD affiliatedGaithersburg, Mddual registrantIAPD 4857407

Feed of 09/14/2026

At current firm

2 y

since Jan 22, 2024

In the industry

16 y

since Dec 31, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Osaic Wealth, Inc. BD affiliated current
since Jan 22, 2024 · Gaithersburg, Md
LPL Financial LLC BD affiliated
Jun 2, 2022 to Jun 13, 2022 · Rockville, Md
Woodbury Financial Services, Inc. former
Jul 11, 2018 to Jan 19, 2024 · Rockville, Md
Capital One Advisors, LLC former
Jan 2, 2015 to Jul 11, 2018 · Gaithersburg, Md
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jan 5, 2010 to May 7, 2015 · Rockville, Md

Moves

a registration end followed by a registration begin elsewhere

Woodbury Financial Services, Inc. to LPL Financial LLC
left Jan 19, 2024, registered Jun 2, 2022 (-596 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
LPL Financial LLC to Osaic Wealth, Inc.
left Jun 13, 2022, registered Jan 22, 2024 (588 days) · RIA to affiliated broker-dealer or bank
Capital One Advisors, LLC to Woodbury Financial Services, Inc.
left Jul 11, 2018, registered Jul 11, 2018 (0 days) · corporate re-registration, not a move
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Capital One Advisors, LLC
left May 7, 2015, registered Jan 2, 2015 (-125 days) · Other

Signals

Diana M Leon left Woodbury Financial Services, Inc. for Lpl Financial Llc (registered 2022-06-02)
Jan 19, 2024 · Advisor changed firm · fact
Diana M Leon left Lpl Financial Llc for Osaic Wealth, Inc. (registered 2024-01-22)
Jun 13, 2022 · Advisor changed firm · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address