LR
Leo Rotman
DIVERSIFY ADVISORY SERVICES
Miami, FL 33140
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CRD#: 4499725
LR
Leo RotmanDIVERSIFY ADVISORY SERVICES
Professional summary
Leo Rotman, CFP® is a registered financial advisor currently at DIVERSIFY ADVISORY SERVICES, LLC located in Miami, Florida and DFPG INVESTMENTS, LLC located in Miami, Florida.
Leo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Leo has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
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.
[INSURANCE BROKERING; APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 201 JONES RD. 5TH FLOOR WALTHAM, MA 02451; START DATE 06/2014; ROLE/TITLE: OWNER; INVESTMENT RELATED; 10 HOURS PER MONTH; 10 HOURS PER MONTH DURING SECURITIES TRADING HOURS]. Real estate rental properties in MA. [OPERATING UNDER THE DBA NAME OF RIVER FINANCIAL GROUP, LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; ADDRESS: WALTHAM, MA; START DATE: 06/2014] [Federation for Children with Special Needs; Provide information, support, and assistance to parents of children with disabilities, their professional partners, and their communities.; 529 Main St. Boston, MA 02129; Start Date 01/2016; Role/Title: Board Member; Not Investment Related; 2 hours per month; 0 hours per month during securities trading hours; Attend board meetings and give my recommendation on the guidance of the organization, be part of a committee, help fund raise] [Cryptocurrency Investment; Coonbase Cryptocurrency account. Opened an account but have not made any investment; 548 Market St #23008 San Francisco, CA 94104; Start Date 10/2018; Role/Title: Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [NYLARC Holding Company, Inc.; Reinsuring the life insurance that I write with New York Life; 51 Madison Avenue, New York, NY 10010; Start Date 06/2018; Role/Title: Investor; Investment Related; 1 hours per month; 1 hours per month during securities trading hours] [LJN Realty LLC; I own rental properties. 19 Spring St. Miliford, MA; 75 Pine St. unit A, Milford, MA; 19 Spring St. Milford, MA; Start Date 03/2020; Role/Title: Owner; Investment Related; 20 hours per month; 15 hours per month during securities trading hours; own and manage a property] [Rental Property; Rental Property with Svetlana. Residential property owned 50/50 with my fianc�. Addresses: 53 Water St. Milford, MA; 31 Forest St. #1 and #2 Milford, MA; 53 Water St. Milford, MA 01757; Start Date 06/2022; Role/Title: Owner; Investment Related; 5 hours per month; 5 hours per month during securities trading hours] [Rental Property - 10 Walnut St.; Residential real estate: 10 Walnut St. #2 and #5 Milford, MA; 53 Water St. Milford, MA 01757; Start Date 06/2023; Role/Title: Owner; Investment Related; 5 hours per month; 0 hours per month during securities trading hours] [NewGen Ventures, LLC ; Dropship on Amazon. Sourcing consumer products from China and selling them on Amazon.; 83 Warren Rd. Framingham, MA 01702; Start Date 04/2024; Role/Title: Partner; Not Investment Related; 2 hours per month; 0 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Leo Rotman'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®
CFP®
Start date: 2014
Experience
Current
July 20, 2026 - Present
DIVERSIFY ADVISORY SERVICES, LLC
Office #1: 66 W. Flagler St. 9th Floor, Miami, FL 33140Office #2: 201 Jones Rd. 5th Floor, Waltham, MA 02451RIA
CRD#: 326060
Miami, FL
Current
July 20, 2026 - Present
DFPG INVESTMENTS, LLC
Office #1: 66 W. Flagler St. 9th Floor, Miami, FL 33140Office #2: 201 Jones Rd. 5th Floor, Waltham, MA 02451BD
CRD#: 155576
Miami, FL
Past
July 21, 2004 - July 29, 2026
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
WALTHAM, MA
Past
September 4, 2002 - July 29, 2026
NYLIFE SECURITIES LLC
BD
CRD#: 5167
WALTHAM, MA
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".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RESILIENT WEALTH MANAGEMENT | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(7/20/2026)
RR
Florida(7/22/2026)
IAR
Florida(7/28/2026)
RR
Georgia(7/20/2026)
IAR
Massachusetts(7/22/2026)
RR
Massachusetts(7/23/2026)
IAR
New Hampshire(7/20/2026)
RR
New Hampshire(7/20/2026)
RR
New Mexico(7/20/2026)
RR
New York(7/20/2026)
RR
North Carolina(7/30/2026)
RR
Texas(7/20/2026)
IAR
Texas(7/20/2026)
RR
Utah(7/20/2026)
RR
Virginia(7/20/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RESILIENT WEALTH MANAGEMENT | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 Approved)Loading...
Contact information
Main Address
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,318 |
| AUM (Assets Under Management) | $ 3,206,698,268 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/09/2026 | ||
| 09/25/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DIVERSIFY ADVISORY SERVICES, LLC
CRD#: 326060Miami, FL 33140TRUST BUT VERIFY
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