Elvin M Diaz Ozuna

$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	2026-06-12
NJ	RA	APPROVED	2026-06-10

Branch Locations

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pennington	NJ	02/2026	Present
Walmart	Easton	PA	09/2022	09/2023
State Farm	Easton	PA	11/2023	02/2026
Crayola Experience	Easton	PA	04/2022	09/2022
Adobo Latin Kitchen	Easton	PA	08/2020	04/2022
Easton Area School District	Easton	PA	08/2015	05/2023

02/2026 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ
09/2022 → 09/2023

Walmart

Easton, PA
11/2023 → 02/2026

State Farm

Easton, PA
04/2022 → 09/2022

Crayola Experience

Easton, PA
08/2020 → 04/2022

Adobo Latin Kitchen

Easton, PA
08/2015 → 05/2023

Easton Area School District

Easton, PA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-06-09