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DD

Diana L. Dessonville

BAILARD
FOSTER CITY, CA 94404-2131
Some features on this profile are disabled
CRD#: 1865178
DD

Professional summary

Diana Lea Dessonville, who also goes by Diana Lea Mudge, is a registered financial advisor currently at BAILARD, INC. located in Foster City, California.

Diana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Diana has worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 62 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Diana Lea Mudge

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Lea Dessonville'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

July 8, 1997 - Present

BAILARD, INC.

Office #1: 950 Tower Lane Suite 1900, Foster City, CA 94404-2131
RIA
CRD#: 110550
FOSTER CITY, CA
Past

January 31, 1989 - June 26, 2018

BAILARD FUND SERVICES, INC.

BD
CRD#: 21206
FOSTER CITY, CA

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".
BI
BAILARD, INC.
BAILARD ASSET MANAGEMENT | SEE SCHEDULE D SECT. 1B FOR OTHER NAMES | BAILARD, INC. | BAILARD, BIEHL & KAISER, INC. | BAILARD WEALTH MANAGEMENT | BAILARD BIEHL & KAISER INC

CRD#: 110550 / SEC#: 801-8562

RIA
Registered Investment Advisory firm - (3/3/1972 Approved)

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
(7/8/1997)

Exams

State Security Law Exam
RR
Series 63
Date: 3/15/1994
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/15/1993
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/26/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 6/13/1995
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/30/1989
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BI
BAILARD, INC.
BAILARD ASSET MANAGEMENT | SEE SCHEDULE D SECT. 1B FOR OTHER NAMES | BAILARD, INC. | BAILARD, BIEHL & KAISER, INC. | BAILARD WEALTH MANAGEMENT | BAILARD BIEHL & KAISER INC

CRD#: 110550 / SEC#: 801-8562

RIA
Registered Investment Advisory firm - (3/3/1972 Approved)
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Contact information

Main Address
950 Tower Ln Ste 1900, Foster City, CA 94404-2131
Mailing Address
Phone number
(650) 571-5800
Established
Firm type
Fiscal year end
# of Employees
80

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BAILARD ADV 2A (BROCHURE) (5/30/2025)

Regulatory assets under management

Total Number of Accounts2,573
AUM (Assets Under Management)$ 6,538,323,255

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.

Company Information

BAILARD, INC.

CRD#: 110550Foster City, CA 94404-2131

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Contact information

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