Diana Atha
Diana Atha is a ChFC-designated registered investment advisor at Waterrock Wealth Management, based in Lincoln, CA, with 8 years of industry experience. Diana operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning. Their firm serves 275 clients with $130M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $50K | 1.40% |
| $50K - $100K | 1.40% |
| $100K - $500K | 1.40% |
| $500K - $750K | 1.25% |
| $750K - $1000K | 1.00% |
| $1.0M - $5.0M | 0.75% |
| $5M+ | 0.50% |
Prien Asset Management may specifically direct clients to Orion Portfolio Solutions, LLC. The annual fee schedule is as follows: $0.00 $50,000.00 Prien Asset Management’s Fee 1.4% OPS’ Fee 0.45% $50,000.01 $100,000.00 1.4% 0.30% $100,000.01 $500,000.00 1.4% 0.20% $500,000.01 $$749,999 1.25% 0.15% $750,000 - $999,999 1.0% 0.15% $1,000,000.00 - $5,000,000.00 0.75% 0.10% Over $5,000,000.00 0.50% 0.08%. For clients who utilize Pontera, the fee schedule above will apply. Please note that .25% of the management fee will be paid to Pontera by Prien Asset Management.
Fee Estimator
Location
Lincoln, CA
Get directionsHistory
Regulatory History (1)
Customer Dispute
July 2004Other Business ActivitiesSells Insurance
Diana has been an independent insurance broker since 1984, selling life, disability, long-term care insurance, and annuities, dedicating nearly full-time hours to this. She also participates in a network marketing company focused on anti-aging and wellness, earning minimal commissions.
Employment History
Current Registrations
Waterrock Wealth Management
Previous Registrations
Onpointe Advisory and Financial Services, LLC
Princor Financial Services Corporation
Eagle Strategies CORP
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.