Diane Woodward
Diane Woodward is a CFP-designated registered investment advisor at Mariner Advisor Network, based in Incline Village, NV, with 25 years of industry experience. Diane operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 16,313 clients with $8.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Mariner Independent Advisor Network offers investment management services through its network of IARs. Fees are based on the value of your portfolio and are deducted from your account. There are two fee options:
- Transaction Based Fee Option (TBFO): You pay transaction charges and/or commissions at the time of each transaction in addition to investment advisory fees. The advisory fees range from 0.4% to 2.55% if you pay for transaction charges, or 0.4% to 2.75% if the IAR pays for all transaction charges.
- Asset Based Fee Option (ABFO): You are charged a single periodic fee for advisory services, transaction charges, brokerage, and related services based on the value of assets in your account. The appropriateness of this option depends on your investment objectives, financial situation, and the frequency of trading in your account.
Fees are negotiable and can vary based on the complexity of your situation, the scope of services provided, and the expertise of the IAR.
Location
Incline Village, NV
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Diane operates Oak Tree Wealth Management, LLC as a DBA for LPL business and also as a business entity for tax/investment purposes. She also provides investment advisory services through Mariner Independent Advisor Network LLC, dedicating full-time hours to this activity.
Employment History
Current Registrations
Mariner Advisor Network
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
Associated Planners Investment Advisory INC
Associated Securities CORP.
Associated Securities CORP.Broker
Fsc Securities Corporation
Fsc Securities Corporation
Fsc Securities CorporationBroker
Financial Horizons Securities CorporationBroker
Citicorp Investment ServicesBroker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations6 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.