Diana Atha has been an investment adviser representative at Prien Asset Management since August 2023, and is not listed among the firm’s executive officers or direct owners.
Prien Asset Management, LLC is an Albuquerque, NM firm with $154M under management, 290 clients and 5 advisers across 4 offices, as of its March 2026 filing.
Diana (Borroel) Atha is Wealth Adviser of WaterRock Wealth Management. She started her career in the financial services industry in 1994 with New York Life and retired from New York Life in 2005. In 2023 she joined WaterRock Wealth Management as a Wealth Adviser, and she was previously President and CEO of the Sacramento Hispanic Chamber of Commerce.
Diana Atha’s longest registration is the current one, 3 years at Prien Asset Management since 2023. Before joining Prien Asset Management in 2023, Diana Atha was registered through Onpointe Advisory and Financial Services, LLC and Princor Financial Services Corporation.
- Onpointe Advisory and Financial Services, LLC– · under a yearElizabeth City, NC · Adviser representative · Firm CRD 162143
- Princor Financial Services Corporation– · 2 yearsElizabeth City, NC · Adviser representative · Firm CRD 1137
- Eagle Strategies Corp– · 3 yearsElk Grove, CA · Adviser representative · Firm CRD 110826
Professional designations
Listed by Prien Asset Management
- ChFC
- CLU
- LUTCF
Investment adviser representative registrations
Diana Atha is registered as an investment adviser representative in 2 states. The first approvals date from August 2023; the most recent is California, in October 2025.
- CaliforniaSince 17 October 2025
- New MexicoSince 15 August 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 13 April 2011 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 5 April 2011 |
| Series 22 | Direct Participation Programs Representative Examination | 5 April 1988 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Full name
- Diana Mae Atha
- CRD
- 1456850
- Firm
- Prien Asset Management · CRD 296462
- Registration
- Investment adviser registration
- In the industry since
- July 2017
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- waterrockwealthmanagement.com
Where does Diana Atha work?
Diana Atha is an investment adviser representative registered through Prien Asset Management, LLC since August 2023, and is not listed among the firm’s executive officers or direct owners.
Is Diana Atha a financial advisor?
Yes. Diana Atha has a current investment-adviser registration in California and New Mexico, through Prien Asset Management since August 2023.
How many years of experience does Diana Atha have?
Diana Atha has 9 years in the financial industry, since July 2017, across 4 adviser firms.
What exams has Diana Atha passed?
Diana Atha has passed 3 licensing exams: the Series 22, Series 6 and Series 63. The earliest, the Series 22, was passed in April 1988.
Where did Diana Atha work before Prien Asset Management?
Before Prien Asset Management, Diana Atha was registered through Onpointe Advisory and Financial Services, LLC, March 2014 to December 2014; Princor Financial Services Corporation, April 2011 to August 2013; Eagle Strategies Corp, October 2002 to October 2005.
Is Diana Atha registered with FINRA?
No. Diana Atha has no current broker registration.
How can I verify Diana Atha’s record?
Search CRD 1456850 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Diana Atha’s full registration record.