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.

SEC-registered adviser

Premier Wealth Advisors, LLC

Independent wealth managerNew York, New YorkCRD 120358SEC 801-78204website IAPD

Latest filing Mar 27, 2026

First filing on the tape Jun 6, 2013 · 26 filings

SEC status approved since Jun 27, 2013

RAUM

$555M

reported, Item 5.F

Discretionary

97%

of RAUM

Private clients

81%

$448M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$92.5M

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM$555M as of Mar 27, 2026

Mar 31, 2014$104M then

HNW client RAUM$362M as of Mar 27, 2026

Mar 28, 2018$153M then

State-registered IARs (5.B.3)6 as of Mar 27, 2026

Mar 31, 20141 then

Employees (5.A)9 as of Mar 27, 2026

Mar 31, 20149 then

Private funds: no history

RAUM +6.1% over the last fiscal year+17% a year over threeIARs 6 to 6

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control

RAUM per advisor: $92.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 102derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.4MderivedHNW RAUM over HNW clients
Average account: $749,075derivedRAUM over accounts (5.F.2.f)
Discretionary: 97%derivedof RAUM
Institutional: 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +6.1%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +15%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody: $363,839, 1 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$362M65%
Individuals$86.0M15%
Charitable organizations$65.5M12%
Pension and profit-sharing plans$41.6M7.5%

Individual clients: 363reported
HNW clients: 251reported
Pension plan clients: 29reported
Charitable clients: n/areported
Accounts: 741reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $363,839 for 1 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.81 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

6 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Russell C Bailyn	New York, Ny	Jan 5, 2015	24 y	3
John Louis Diaz	New York, Ny	Jan 21, 2015	41 y	4
Jeffrey Alan Kerman	New York, Ny	Sep 29, 2016	18 y	4
Gregory Walter Rickens	New York, Ny	Aug 30, 2021	20 y	1
Debra Gail Burnham	New York, Ny	Aug 30, 2021	42 y	1
Edward Paul MallyChartered Financial Analyst	New York, Ny	Jan 14, 2022	38 y	1

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months

Left, latest

David Aaron Volkman to Cetera Investment Advisers LLC
Dec 6, 2024 · RIA to affiliated broker-dealer or bank
Kenneth Walter Rickens to Kestra Advisory Services, LLC
Mar 18, 2020 · RIA to affiliated broker-dealer or bank
Mark Matthew Martiak to A.G.P / Alliance Global Partners
Aug 16, 2019 · RIA to affiliated broker-dealer or bank

Joined, latest

Edward Paul Mally from Imperial Capital Asset Management LLC
Jan 14, 2022 · Other
Gregory Walter Rickens from Cetera Investment Advisers LLC
Aug 30, 2021 · Affiliated broker-dealer or bank to independent RIA
Debra Gail Burnham from Cetera Investment Advisers LLC
Aug 30, 2021 · Affiliated broker-dealer or bank to independent RIA
David Aaron Volkman from First Allied Advisory Services, Inc.
Jun 14, 2017 · Other
Jeffrey Alan Kerman from First Allied Advisory Services, Inc.
Sep 29, 2016 · Other
Mark Matthew Martiak from First Allied Advisory Services, Inc.
May 18, 2015 · Other
John Louis Diaz from First Allied Advisory Services, Inc.
Jan 21, 2015 · Other
Russell C Bailyn from First Allied Advisory Services, Inc.
Jan 5, 2015 · Other
Kenneth Walter Rickens from First Allied Advisory Services, Inc.
Jun 27, 2013 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from Cetera Investment Advisers LLC
Oct 20, 2022 · New York, Ny
4 joined from First Allied Advisory Services, Inc.
Nov 12, 2020 · New York, Ny

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Louis John Diaz · Chief Compliance Officer And Presidentcontrol
since 05/1992 · owns less than 5%
Louis John Diaz · Presidentcontrol
since 05/1992 · owns 75% or more of Premier Financial Services, Inc.

Entity owners

Premier Financial Services, Inc. · Managing Member
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
New York, Ny · principal	6	0	0

Offices

Schedule D 1.F, the 25 largest

Uniondale, NY1 employees

What changed

consecutive filings, newest first

Accounts · 754 to 741
Jun 25, 2025 to Mar 27, 2026
HNW clients · 210 to 251
Jun 25, 2025 to Mar 27, 2026
Individual clients · 325 to 363
Jun 25, 2025 to Mar 27, 2026
Pension plan clients · 32 to 29
Jun 25, 2025 to Mar 27, 2026
Financial planning clients · 11-25 to 1-10
Jun 25, 2025 to Mar 27, 2026
Discretionary RAUM · $523M to $537M
Jun 25, 2025 to Mar 27, 2026
HNW RAUM · $335M to $362M
Jun 25, 2025 to Mar 27, 2026
Individual RAUM · $94.5M to $86.0M
Jun 25, 2025 to Mar 27, 2026
Non-discretionary RAUM · $0 to $18.1M
Jun 25, 2025 to Mar 27, 2026
Pension RAUM · $34.5M to $41.6M
Jun 25, 2025 to Mar 27, 2026
RAUM · $523M to $555M
Jun 25, 2025 to Mar 27, 2026
Assets in custody · unset to 363839.0
Mar 21, 2025 to Jun 25, 2025
Custody of client assets · false to true
Mar 21, 2025 to Jun 25, 2025
Financial planning clients · 11-25 to 11-25
Mar 21, 2025 to Jun 25, 2025
Accounts · 711 to 754
Dec 20, 2024 to Mar 21, 2025
Advisory employees · 7 to 6
Dec 20, 2024 to Mar 21, 2025
BD registered reps · 5 to 0
Dec 20, 2024 to Mar 21, 2025
HNW clients · 202 to 210
Dec 20, 2024 to Mar 21, 2025
Individual clients · 329 to 325
Dec 20, 2024 to Mar 21, 2025
Pension plan clients · 5 to 32
Dec 20, 2024 to Mar 21, 2025
Assets in custody · 2551000.0 to unset
Dec 20, 2024 to Mar 21, 2025
Custody of client assets · true to false
Dec 20, 2024 to Mar 21, 2025
Employees · 10 to 9
Dec 20, 2024 to Mar 21, 2025
Insurance-licensed employees · 5 to 0
Dec 20, 2024 to Mar 21, 2025
Financial planning clients · 1-10 to 11-25
Dec 20, 2024 to Mar 21, 2025
State-registered IARs · 7 to 6
Dec 20, 2024 to Mar 21, 2025
Discretionary RAUM · $432M to $523M
Dec 20, 2024 to Mar 21, 2025
HNW RAUM · $292M to $335M
Dec 20, 2024 to Mar 21, 2025
Individual RAUM · $81.2M to $94.5M
Dec 20, 2024 to Mar 21, 2025
Pension RAUM · $6.7M to $34.5M
Dec 20, 2024 to Mar 21, 2025
RAUM · $432M to $523M
Dec 20, 2024 to Mar 21, 2025
Accounts · 594 to 711
Mar 27, 2023 to Mar 27, 2024
HNW clients · 212 to 202
Mar 27, 2023 to Mar 27, 2024
Individual clients · 105 to 329
Mar 27, 2023 to Mar 27, 2024
Pension plan clients · 6 to 5
Mar 27, 2023 to Mar 27, 2024
Assets in custody · unset to 2551000.0
Mar 27, 2023 to Mar 27, 2024
Custody of client assets · false to true
Mar 27, 2023 to Mar 27, 2024
Insurance-licensed employees · 3 to 5
Mar 27, 2023 to Mar 27, 2024
Discretionary RAUM · $343M to $432M
Mar 27, 2023 to Mar 27, 2024
HNW RAUM · $213M to $292M
Mar 27, 2023 to Mar 27, 2024

Signals

3 dated events

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

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business phone: 516-778-5822reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 800-499-4143reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: LINKEDIN.COM/COMPANY/PREMIER-WEALTH-ADVISORS-LLCreportedpublic record, Form ADV, Sep 17, 2026
Website: YOURPREMIERWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 212-752-4343reportedpublic record, Form ADV, Mar 27, 2026
Contact form: yourpremierwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page: yourpremierwealth.com/teamreportedpublished by the firm, firm site, Sep 15, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $92.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026