Diego G. Vallota

DEAN DORTON WEALTH MANAGEMENT

FORT WRIGHT, KY 41011

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CRD#: 2669877

Professional summary

Diego German Vallota is a registered financial advisor currently at DEAN DORTON WEALTH MANAGEMENT, LLC located in Fort Wright, Kentucky.

Diego is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Diego has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) Concentric Wealth Management, LLC 901 Adams Crossing~Cincinnati~OH~45202 Other~2/1/2011~150hrs~110hrs~Operational/Marketing name only 2) Connected Language Services 901 Adams Crossing~Cincinnati~OH~45202~Professional Services~Owner/Sole Proprietor~6/1/2016~15hrs~0hrs~Controller 3) Avantax Insurance Agency LLC Cincinnati OH Cincinnati~OH~45202~Independent Insurance Agent~Insurance Sales Agent~2/1/2011~10hrs~10hrs~insurance services| VL Private Wealth - Registered Investment Advisor DBA - inv related - Fort Wright, KY - Managing Director - 06/02/2023. 160 hours per month, 130 hours during securities trading hours. Investment Advisory and Financial Planning services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diego German Vallota's 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

January 9, 2025 - Present

DEAN DORTON WEALTH MANAGEMENT, LLC

Office #1: 810 Wright's Summit Parkway Suite 300, Fort Wright, KY 41011

RIA

CRD#: 297616

FORT WRIGHT, KY

Past

June 8, 2023 - January 15, 2025

STRATOS WEALTH PARTNERS, LTD

RIA

CRD#: 153184

Fort Wright, KY

Past

February 8, 2011 - June 7, 2023

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

CINCINNATI, OH

Past

February 7, 2011 - June 7, 2023

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Cincinnati, OH

Past

July 6, 2009 - January 28, 2011

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CINCINNATI, OH

Past

July 1, 2009 - January 28, 2011

J.P. MORGAN SECURITIES LLC

CRD#: 79

CINCINNATI, OH

Past

January 1, 2004 - June 4, 2009

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

CINCINNATI, OH

Past

January 1, 2004 - June 4, 2009

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

CINCINNATI, OH

Past

June 6, 2003 - January 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

CINCINNATI, OH

Past

June 13, 2000 - January 1, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

March 27, 1999 - June 16, 2000

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

April 15, 1997 - March 27, 1999

FIFTH THIRD SECURITIES, INC.

CRD#: 3155

CINCINNATI, OH

Past

November 22, 1995 - March 10, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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

Indiana
(1/9/2025)

IAR

Kentucky
(1/9/2025)

IAR

North Carolina
(2/11/2025)

IAR

Ohio
(2/1/2025)

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

IAR

Series 65

Date: 1/2/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/1995

General Securities Representative Examination

Current Firm

DEAN DORTON WEALTH MANAGEMENT, LLC

DEAN DORTON PRIVATE WEALTH | DEAN DORTON WEALTH MANAGEMENT, LLC

CRD#: 297616 / SEC#:

Indiana

Registered Investment Advisory firm - (10/1/2024 Approved)

Kentucky

Registered Investment Advisory firm - (8/23/2018 Approved)

North Carolina

Registered Investment Advisory firm - (8/29/2024 Approved)

Ohio

Registered Investment Advisory firm - (8/28/2024 Approved)

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Contact information

Main Address

250 W. Main Street Suite 1400, Lexington, KY 40507

Mailing Address

Phone number

(859) 425-7780

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	82
AUM (Assets Under Management)	$ 42,618,891

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

Diego G. Vallota

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diego German Vallota's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATOS WEALTH PARTNERS, LTD

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/2/1996

Series 63

Date: 12/1/1995

SIE

Date: 10/1/2018

Series 7

Date: 11/21/1995

Current Firm

DEAN DORTON WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DEAN DORTON WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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