Joshua Matthew De Leon

$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
TX	RA	APPROVED	2022-05-31
NC	RA	APPROVED	2022-05-27
TN	RA	APPROVED	2021-08-20

Branch Locations

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Raleigh	NC	09/2019	Present
University Of North Carolina Wilmington	Wilmington	NC	08/2014	07/2018
Regions Bank	Johnson City	TN	09/2018	08/2019
Seahawk Investment Llc	Wilmington	NC	01/2018	05/2018
Best Buy	Wilmington	NC	05/2017	10/2017
Bank Of America, N.A.	Raleigh	NC	01/2025	Present

09/2019 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Raleigh, NC
08/2014 → 07/2018

University Of North Carolina Wilmington

Wilmington, NC
09/2018 → 08/2019

Regions Bank

Johnson City, TN
01/2018 → 05/2018

Seahawk Investment Llc

Wilmington, NC
05/2017 → 10/2017

Best Buy

Wilmington, NC
01/2025 → Present

Bank Of America, N.A.

Raleigh, NC

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-08-15

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