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Roger Diaz

Dearborn Partners L.L.C.
31 Years of Experience
Manhattan Beach, CA
Broker
View SEC Summary
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Roger Diaz is a registered investment advisor at Dearborn Partners L.L.C., based in Manhattan Beach, CA, with 31 years of industry experience. Roger is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 285 clients with $2.7B in assets under management.

Dearborn Partners L.L.C.
Compensation
Fee-Only (% of Portfolio)
Firm Size
9 advisors
Number of Clients
285 clients
Average Client Portfolio
$9.6M average
Assets Under Management
$2.7B

Fee Structure

Minimum Investment:$100K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Annual fees generally range from 0.25% to 1.00% depending on the strategy and portfolio size. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Manhattan Beach, CA

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History

Regulatory History
Clean regulatory record

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.

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Other Business Activities

Roger is a sales director at Dearborn Partners, LLC, an investment management firm, focusing on business development and service. This activity is investment-related and takes nearly full-time.

Employment History
Current Registrations
Dearborn Partners L.L.C.
July 2020 - Present · 6 yrs 3 mos
Quasar Distributors, LLC
July 2020 - Present · 6 yrs 3 mos
Quasar Distributors, LLCBroker
July 2020 - Present · 6 yrs 3 mos
Previous Registrations
Delaware Distributors, L.P.Broker
November 2014 - March 2019 · 4 yrs 4 mos
Delaware Capital Management Advisers, INC
November 2014 - March 2019 · 4 yrs 4 mos
Tcw Funds DistributorsBroker
March 2003 - November 2014 · 11 yrs 8 mos
Tcw Investment Management CO
January 2003 - November 2014 · 11 yrs 10 mos
Putnam Investment Management, LLC
November 2001 - November 2002 · 1 yr
Putnam Retail Management Limited PartnershipBroker
October 1998 - October 2002 · 4 yrs
Planco Financial Services, INC.Broker
December 1996 - September 1998 · 1 yr 9 mos
Dean Witter Reynolds INC.Broker
January 1996 - December 1996 · 11 mos
Smith Barney INC.Broker
May 1994 - February 1996 · 1 yr 9 mos
Prudential Securities IncorporatedBroker
March 1993 - May 1994 · 1 yr 2 mos
Reynolds Kendrick Stratton, INC.Broker
February 1993 - February 1993 · 0 mos
State Registrations13 states
AKAZCACOHIIDILMTNVORUTWAWY
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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