Diastole Wealth Management

Registered investment adviser · Guilford, CT · CRD #111604

Form ADV data as of 2026-09-01

Regulatory assets

$396.0 million

Total accounts

1,434

Employees

Disclosure events

Firm details

Website: http://www.diastole.biz
Telephone: 203-458-5220
SEC file number: 801-57610
Most recent Form ADV filing: 2026-05-05
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 4 disclosure questions answered Yes, covering 4 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$274.6 million
Non-discretionary regulatory assets under management	$121.4 million
Total regulatory assets under management	$396.0 million
Discretionary accounts	1,270
Non-discretionary accounts	164
Total accounts	1,434
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	13
Employees performing investment advisory functions (including research)	9
Employees who are registered representatives of a broker-dealer	0
Employees registered as investment adviser representatives with a state	9
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	3
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$25.0 million
Clients for whom the firm has custody	1
A related person has custody of client cash or bank accounts	Yes
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$25.0 million
Clients for whom a related person has custody	1
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	2

How the firm is compensated

A percentage of assets under management

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers)Other

Affiliated related persons

Sponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends securities for which it serves as underwriter or general partner
Recommends brokers or dealers to clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	187	$56.3 million
High net worth individuals	86	$313.6 million
Pooled investment vehicles (other than investment companies and BDCs)	1	$25.0 million
Charitable organizations	1	$1.1 million