Michael Diaz

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-09-21
IL	RA	APPROVED	2021-09-08

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Alsip	IL	07/2021	Present
Babson College	Wellesley Hills	MA	10/2017	05/2021
Chicago Clearing Corporation	Chicago	IL	12/2017	09/2018
Starbucks	Chicago	IL	09/2016	08/2017
Starbucks	Wellesley Hills	MA	08/2017	10/2017
Jones College Prep	Chicago	IL	08/2013	05/2017
Babson College	Wellesley Hills	MA	08/2017	05/2021
Bank Of America	Alsip	IL	06/2020	08/2020

07/2021 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Alsip, IL
10/2017 → 05/2021

Babson College

Wellesley Hills, MA
12/2017 → 09/2018

Chicago Clearing Corporation

Chicago, IL
09/2016 → 08/2017

Starbucks

Chicago, IL
08/2017 → 10/2017

Starbucks

Wellesley Hills, MA
08/2013 → 05/2017

Jones College Prep

Chicago, IL
08/2017 → 05/2021

Babson College

Wellesley Hills, MA
06/2020 → 08/2020

Bank Of America

Alsip, IL

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-09-04