Herbert Arthur Diamant
Professional Summary
Herbert Arthur Diamant is a registered financial advisor currently at DIAMANT ASSET MANAGEMENT, INC. located in Ridgefield, Connecticut. Herbert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Herbert has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 27 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
49 years in the financial services industry
Current & Past Employments
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Current Firm
DIAMANT ASSET MANAGEMENT, INC.
Contact Information
Main Address
440 Main Street, Ridgefield, CT 06877Phone Number
(203) 661-6410# of Employees
3SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
59AUM (Assets Under Management)
$211,530,484Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2026 | Cover Page | Report |
| 01/28/2025 | Cover Page | Report |
| 01/02/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
DIAMANT ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
(8/19/1987)
(1/11/2010)
(6/24/2021)
(3/30/2021)
(1/13/2023)
(3/2/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 2000Series 40 — Registered Principal Examination
Passed Jul 1977Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Herbert Arthur Diamant's CRS (Customer Relationship Summary).
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