Business Description

Oatley & Diak is a family run registered investment advisory (RIA) firm that provides clients investment management and financial planning services in a hands-on, intimate environment. Our diverse wealth of education and industry experience provides the client with a reservoir of knowledge to assess and construct a strategy that can identify the client’s unique needs. We offer a process driven, value approach toward creating a financial plan unique to the client’s needs that will assist in achieving superior results over the long-term. The investments utilized adhere to our strict set of requirements. The client’s goals and objectives are reviewed using a disciplined monitoring process with intimate one-on-one client meetings.

Oatley & Diak team environment transcends the firm structure; working well with other advisors, such as CPA and attorneys, to create a streamlined approach to the client.

General Information

Gender:

Male

CRD#:

5207863

Firm CRD#:

123589

Name of Custodial Firm:

Charles Schwab

States Licensed in:

States Willing to do Business in:

CO/UT/WY

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Prior to joining Oatley & Diak, LLC, John was an owner of a land surveying company and worked with a diverse clientele in construction, engineering, architecture, real estate, mining, special districts, federal, state and local municipalities.
As a CERTIFIED FINANCIAL PLANNER practitioner, John assists clients through many difficult lifestyle changes such as business downturns, retirement planning, divorce, death of spouse and family estate issues among others. John's attention to detail and straight forward, hands-on approach to issues have consistently produced results for clients.

I work with the following types of clients:

Individual Investors, Non-Profit Organizations, Trusts/Estates, Businesses

Education

Academic Background

MSF, Master of Science - Finance, University of Colorado - Denver
BS, Business Adminisitration - Finance, Colorado State University
BS, Human Development and Family Studies, Colorado State University

Services

Investment Types:

Exchange Traded Funds (ETFs), Bonds, Stocks, Commodities, Mutual Funds, Alternative Investments, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Certified Financial Divorce Practitioner (CFDP®)

Securities Licenses:

Series 65

Financial Organization Memberships:

Financial Planning Association (FPA)

Non-Financial Organization Memberships:

Autism Society of Colorado
Colorado Collaborative Law Professionals
International Academy of Collaborative Professionals

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

Firm's Number of Planning Clients:

Firm's Number of Managed Clients:

Assets Managed by Firm:

$18,000,000

Advisor's Number of Clients:

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$18,000,000

Compliance

Registered Investment Advisor:

Yes

Investment Advisor Representative:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-only financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Based on Assets, Hourly

Fee % Based on Assets:

Hourly Rate:

$150

Minimum Fee Charged for Hourly Planning Accounts:

$500

Prepared By:

John Diak, CFP®