Diana M. Atha

WATERROCK WEALTH MANAGEMENT

Albuquerque, NM 87110

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CRD#: 1456850

Professional summary

Diana Mae Atha, who also goes by Diana Mae Borroel, Diana M Borroel, is a registered financial advisor currently at WATERROCK WEALTH MANAGEMENT located in Albuquerque, New Mexico.

Diana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Diana has worked at 5 firms and has passed the Series 63, Series 6 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diana Mae Borroel | Diana M Borroel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 1984 UNTIL PRESENT - INDEPENDENT INSURANCE BROKER. Albuquerque, NM. LIFE, DISABILITY AND LONG-TERM CARE INSURANCE. FIXED AND FIXED EQUITY INDEX ANNUITIES. 120 HOURS SPENT PER MONTH. 2. Network marketing company (anti-aging and wellness). Commissions minimal. Less than $20 per month plus free product.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Mae Atha's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 15, 2023 - Present

WATERROCK WEALTH MANAGEMENT

Office #1: 6565 Americas Parkway Ne Ste 200, Albuquerque, NM 87110

RIA

CRD#: 296462

Albuquerque, NM

Past

March 16, 2014 - December 16, 2014

ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC

RIA

CRD#: 162143

ELIZABETH CITY, NC

Past

April 26, 2011 - August 5, 2013

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

ELIZABETH CITY, NC

Past

April 6, 2011 - August 5, 2013

PRINCIPAL SECURITIES, INC.

CRD#: 1137

ELIZABETH CITY, NC

Past

October 23, 2002 - October 26, 2005

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

ELK GROVE, CA

Past

May 19, 1986 - October 19, 2005

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WATERROCK WEALTH MANAGEMENT

PRIEN ASSET MANAGEMENT, LLC | WATERROCK WEALTH MANAGEMENT

CRD#: 296462 / SEC#: 801-128547

RIA

Registered Investment Advisory firm - (8/10/2023 Approved)

New Mexico

Registered Investment Advisory firm - (8/14/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/14/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/17/2025)

IAR

New Mexico
(8/15/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/13/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 4/5/2011

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 4/5/1988

Direct Participation Programs Representative Examination

Current Firm

WATERROCK WEALTH MANAGEMENT

PRIEN ASSET MANAGEMENT, LLC | WATERROCK WEALTH MANAGEMENT

CRD#: 296462 / SEC#: 801-128547

RIA

Registered Investment Advisory firm - (8/10/2023 Approved)

New Mexico

Registered Investment Advisory firm - (8/14/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/14/2023 Terminated)

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Contact information

Main Address

6565 Americas Parkway Ne Ste 200, Albuquerque, NM 87110

Mailing Address

Phone number

(505) 831-6342

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A, 2B AND PRIVACY POLICY (10/17/2025)

Regulatory assets under management

Total Number of Accounts	275
AUM (Assets Under Management)	$ 132,519,125

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Diana M. Atha

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Mae Atha's CRS (Customer Relationship Summary).

Certified licenses

Experience

ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

WATERROCK WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 4/13/2011

Series 6

Date: 4/5/2011

Series 22

Date: 4/5/1988

Current Firm

WATERROCK WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERROCK WEALTH MANAGEMENT

TRUST BUT VERIFY

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