Niva WealthLet’s talk

Karisa Diephouse

Chief Operating Officer at Beacon Pointe Advisors

No current adviser or broker registrationSEC record checked 18 October 2026

4
Past adviser firms
4
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Karisa Diephouse is Chief Operating Officer of Beacon Pointe Advisors, LLC, a Newport Beach investment adviser managing $54.9B. Karisa Diephouse has past investment-adviser registrations through 4 firms and has passed the Series 7, Series 66, Series 9 and Series 10.

Role at Beacon Pointe Advisors

Title on Schedule A
Chief Operating Officer
Control
Karisa Diephouse is a control person of Beacon Pointe Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Karisa Diephouse has held the filed role since April 2021.

The firm

Beacon Pointe Advisors, LLC
Newport Beach, CA

Form ADV filed 31 August 2026

$54.9B AUM29,929 clients440 advisers92 offices

Career on record

Firms and exams, newest first
  1. Beacon Pointe Advisors, LLC
    – · 5 years
    Newport Beach, CA · Adviser representative · Firm CRD 119290
  2. Beacon Pointe Wealth Advisors, LLC
    – · 6 years
    Newport Beach, CA · Adviser representative · Firm CRD 151328
  3. Passed Series 10 · 2011
  4. Charles Schwab & Co., Inc.
    – · 3 years
    Newport Beach, CA · Adviser representative · Firm CRD 5393
  5. Passed Series 9 · 2010
  6. Strategic Advisers, Inc.
    – · 5 years
    Brea, CA · Adviser representative · Firm CRD 104555
  7. Passed Series 66 · 2005
  8. Passed Series 7 · 2004

Registrations and exams

No current adviser or broker registration. Karisa Diephouse has passed 4 qualifying exams.

Examinations

Series 662 May 2005
Name
Uniform Combined State Law Examination
Series 1012 September 2011
Name
General Securities Sales Supervisor - General Module Examination
Series 926 April 2010
Name
General Securities Sales Supervisor - Options Module Examination
Series 712 October 2004
Name
General Securities Representative Examination

Individual record

Full name
Karisa Jade Diephouse
CRD
4787247
Firm
Beacon Pointe Advisors, LLC
Registration status
No current adviser or broker registration
Firm bio
beaconpointe.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Beacon Pointe describes Karisa Diephouse’s operations role and prior work at Charles Schwab and Fidelity Investments. Official firm biography

Education

Common questions

Where does Karisa Diephouse work?

Karisa Diephouse has been Chief Operating Officer of Beacon Pointe Advisors, LLC since April 2021, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 31 August 2026

Does Karisa Diephouse have a current investment-adviser registration?

Karisa Diephouse has no current investment-adviser or broker registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Karisa Diephouse passed?

Karisa Diephouse has passed 4 licensing exams: the Series 7, Series 66, Series 9 and Series 10. The earliest, the Series 7, was passed in October 2004.

Source: IAPD individual record, checked 18 October 2026

Where was Karisa Diephouse previously registered as an investment adviser?

Karisa Diephouse has past investment-adviser registrations through Beacon Pointe Advisors, LLC, June 2020 to December 2024; Beacon Pointe Wealth Advisors, LLC, April 2014 to April 2020; Charles Schwab & Co., Inc., March 2011 to March 2014; Strategic Advisers, Inc., June 2005 to December 2010, across 4 firms.

Source: IAPD individual record, checked 18 October 2026

Leadership at Beacon Pointe Advisors

Sources

  1. IAPD individual record, CRD 4787247. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Beacon Pointe Advisors, LLC, filed 31 August 2026. Title, control and ownership bands.
  3. Beacon Pointe Advisors team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Karisa Diephouse or Beacon Pointe Advisors, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.