Diana B. Grimsley

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CRD#: 5492608

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Diana Biberaj Grimsley, who also goes by Diana Biberaj, Diana Grimsley, was a registered financial professional .

Diana is a previously registered financial professional and started their career in finance in 2008. Diana had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Diana Biberaj | Diana Grimsley

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. HME, LLC; Investment Related; Ms. Grimsley works as the sole employee if this entity designed to act as a vehicle to collect revenue from Cresset Asset Management, LLC; 01/01/2022

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 9, 2020 - February 2, 2023

CRESSET ASSET MANAGEMENT, LLC

RIA

CRD#: 288566

Reston, VA

Past

August 3, 2011 - March 10, 2016

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

RESTON, VA

Past

August 3, 2011 - March 10, 2016

HIGHTOWER SECURITIES, LLC

CRD#: 116681

RESTON, VA

Past

October 23, 2008 - August 2, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WASHINGTON, DC

Past

May 6, 2008 - August 2, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WASHINGTON, DC

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".

CRESSET ASSET MANAGEMENT, LLC

CRD#: 288566 / SEC#: 801-110753

RIA

Registered Investment Advisory firm - (7/10/2017 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 10/21/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/10/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/5/2008

General Securities Representative Examination

Current Firm

CRESSET ASSET MANAGEMENT, LLC

CRD#: 288566 / SEC#: 801-110753

RIA

Registered Investment Advisory firm - (7/10/2017 Approved)

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Contact information

Main Address

444 W. Lake Street Suite 4700, Chicago, IL 60606

Mailing Address

Phone number

(312) 429-2400

Established

Firm type

Fiscal year end

# of Employees

468

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CRESSET ASSET MANAGEMENT, LLC FORM ADV2A ("DISCLOSURE BROCHURE") AND APPENDIX 1 ("WRAP FEE BROCHURE") (10/29/2025)

Regulatory assets under management

Total Number of Accounts	42,546
AUM (Assets Under Management)	$ 71,864,303,961

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/10/2025	Cover Page	Report
10/09/2024	Cover Page	Report
11/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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 B. Grimsley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HIGHTOWER ADVISORS, LLC

HIGHTOWER SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CRESSET ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/21/2008

SIE

Date: 3/10/2016

Series 7

Date: 5/5/2008

Current Firm

CRESSET ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CRESSET ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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