Diana Falkenhainer
Diana Falkenhainer is a registered investment advisor at J.P. Morgan Securities LLC, based in La Canada, CA, with 24 years of industry experience. Diana operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 1,055,400 clients with $350B 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 $250K | 1.45% |
| $250K - $500K | 1.30% |
| $500K - $1000K | 1.15% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $5.0M | 0.75% |
| $5.0M - $10.0M | 0.65% |
| $10.0M - $15.0M | 0.55% |
| $15.0M - $25.0M | 0.50% |
| $25.0M - $50.0M | 0.40% |
| $50M+ | 0.30% |
The Advisory Fee rate for assets invested in the Fixed Income Advisory Program (FIAP) is 0.70%. The Advisory Fee rate for assets invested in the Liquidity Management Strategy (LMS) is 0.40%. Effective November 10, 2025 the Advisory Fee rate for new LMS investors and LMS proposals dated on or after November 10, 2025 will be 0.60%.
Fee Estimator
Location
749 Foothill Blvd., La Canada, CA, 91011
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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
Diana owns rental property in Palm Springs, CA with her spouse since 2022. This activity is investment-related and requires minimal time.
Employment History
Current Registrations
J.P. Morgan Securities LLCBroker
J.P. Morgan Securities LLC
Previous Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
Ameriprise Financial Services, INC.Broker
Ameriprise Financial Services, INC.
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
Wells Fargo Investments, LLCBroker
Wells Fargo Investments, LLC
UBS Financial Services INC.
UBS Financial Services INC.Broker
RBC Capital Markets Corporation
RBC Capital Markets CorporationBroker
Wells Fargo Brokerage Services, L.L.C.Broker
Wells Fargo Institutional Securities, LLCBroker
UBS Painewebber INC.Broker
Salomon Smith Barney INC.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations27 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.