{"url":"https://nivawealth.com/firms/diastole-wealth-management-111604","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/111604","regulatoryAum":396019097,"crd":"111604","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4092965","suffix":null,"lastName":"BUZZELLI","firstName":"BARBARA","middleName":"ANN"},{"crd":"1025179","suffix":null,"lastName":"COOK","firstName":"ELIZABETH","middleName":"EARLY"},{"crd":"6416754","suffix":null,"lastName":"DEPATIE","firstName":"JOSEPH","middleName":"THOMAS"},{"crd":"1023859","suffix":null,"lastName":"EDEN","firstName":"ELIZABETH","middleName":"DIANA"},{"crd":"4574697","suffix":null,"lastName":"EDEN","firstName":"ETHAN","middleName":"ANTHONY"},{"crd":"2563071","suffix":null,"lastName":"MIKLE","firstName":"ENIKO","middleName":null},{"crd":"2460908","suffix":null,"lastName":"O'BRIEN","firstName":"JENNIFER","middleName":"LEE"},{"crd":"4652672","suffix":null,"lastName":"O'TOOLE","firstName":"MARY","middleName":"LYNN"},{"crd":"7726510","suffix":null,"lastName":"Staff","firstName":"Samson","middleName":"Scott"}],"total":9,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-15","regulatoryAum":741651300,"clients":294,"employees":12,"offices":2},{"filedOn":"2022-03-30","regulatoryAum":349624845,"clients":286,"employees":11,"offices":2},{"filedOn":"2023-03-21","regulatoryAum":335599861,"clients":314,"employees":12,"offices":2},{"filedOn":"2024-06-13","regulatoryAum":386200000,"clients":304,"employees":12,"offices":4},{"filedOn":"2025-03-17","regulatoryAum":378024334,"clients":304,"employees":11,"offices":4},{"filedOn":"2026-05-05","regulatoryAum":396019097,"clients":275,"employees":13,"offices":3}],"secFileNumber":"801-57610","legalName":"Diastole Wealth Management, Inc.","displayName":"Diastole Wealth Management","slug":"diastole-wealth-management-111604","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/diastole-wealth-management/about/","founded":null,"organization":"Connecticut corporation","fiscalYearEnd":"December","headquarters":{"street":"58 Boston Street","city":"Guilford","state":"CT","stateName":"Connecticut","country":"United States","postalCode":"06437"},"tradeNames":[],"registration":{"secApproved":"24 May 2000","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1354915.282051282,"staff":{"employees":13,"advisory":9,"brokerDealerReps":0,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":396019097,"discretionary":274589135,"discretionaryAccounts":1270,"nonDiscretionary":121429962,"nonDiscretionaryAccounts":164,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":187,"regulatoryAum":56303238},{"label":"High-net-worth individuals","clients":86,"regulatoryAum":313588634},{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":25000000},{"label":"Charitable organizations","clients":1,"regulatoryAum":1127225}],"feePrograms":[{"role":"main","program":"Investment advisory 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05012026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044015","versionId":1044015,"submittedOn":"2026-05-05"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":326596434}],"custodyNote":"Diastole Wealth Management has custody of $25M in client assets for 1 client.","leadership":[{"name":"Elizabeth Eden","title":"President/CEO","crd":"1023859"},{"name":"Elizabeth Cook","title":"Principal","crd":"1025179"},{"name":"Meredith Eden","title":"Partner/COO/CCO","crd":"5310891"},{"name":"Ethan Eden","title":"Owner","crd":"4574697"}],"ownership":[{"label":"Elizabeth Eden","detail":"President/ceo in the 25% to 50% ownership band and a control person, since November 1996."},{"label":"Elizabeth Cook","detail":"Principal in the 25% to 50% ownership band and a control person, since November 1996."},{"label":"Ethan Eden","detail":"Owner in the 10% to 25% ownership band, since January 2009."}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Connecticut","offices":1,"addresses":[{"street":"58 Boston Street","city":"Guilford","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance","philanthropic planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"203-458-5220","stateRegisteredReps":9,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":66},{"label":"U.S. government/agency bonds","percent":10},{"label":"U.S. state and local bonds","percent":2},{"label":"Investment grade corporate bonds","percent":4},{"label":"Cash and cash equivalents","percent":8},{"label":"Other","percent":10,"detail":"Private Equity, Mezzanine Debt, Reits and Non-Derivative Alternative Investments."}],"privateFunds":1},"sources":{"adv1FilingDate":"5 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/111604/PDF/111604.pdf","brochureDate":"5 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044015","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Diastole Wealth Management have?","answer":"Diastole Wealth Management has 275 clients and manages $396 million for them, as of May 2026. They include 187 individual clients, 86 high-net-worth individuals and 1 pooled investment vehicle.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Diastole Wealth Management offer?","answer":"Diastole Wealth Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, selecting other managers, education planning, estate planning, insurance, and philanthropic planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Diastole Wealth Management charge?","answer":"Diastole Wealth Management charges 0.45%–1.40% for its Investment advisory fees. The brochure does not state whether the rate is annual. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"DWM FORM ADV PART 2A/B OTA AMENDMENT 05012026, filed 5 May 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Diastole Wealth Management use?","answer":"Diastole Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $327M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Diastole Wealth Management have?","answer":"Diastole Wealth Management has 9 investment adviser representatives registered with state securities authorities, out of 13 employees, and 9 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Diastole Wealth Management invest in?","answer":"At the end of its last fiscal year, Diastole Wealth Management’s separately managed accounts held 66% exchange-traded equities, 10% U.S. government and agency bonds, 10% other, 8% cash and equivalents, 4% investment grade corporate bonds and 2% state and local bonds. The 10% other category is described as: Private Equity, Mezzanine Debt, Reits and Non-Derivative Alternative Investments. It advises 1 private fund.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Diastole Wealth Management?","answer":"Diastole Wealth Management’s direct owners are Elizabeth Eden, Elizabeth Cook and Ethan Eden, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 5 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Diastole Wealth Management get paid?","answer":"Diastole Wealth Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Diastole Wealth Management registered with the SEC?","answer":"Yes, Diastole Wealth Management has been registered with the SEC as an investment adviser since 24 May 2000. Its CRD number is 111604 and its SEC file number is 801-57610.","source":"Form ADV Part 1A, Item 1, filed 5 May 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Diastole Wealth Management?","answer":"Diastole Wealth Management’s main office is at 58 Boston Street, Guilford, CT 06437. Its phone number is 203-458-5220.","source":"Form ADV Part 1A, Item 1.F, filed 5 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}