OSAIC ADVISORY SERVICES, LLC

Latest filing: Dec 10, 2024 (122 days ago)

View on IAPD

Adviser Website

AUM

$4,938,711,328

0% change vs. 1 year ago

-5% change vs. 3 years ago

60% change vs. 5 years ago

10000% change vs. 10 years ago

Employee Count

2,582

0% change vs. 1 year ago

27% change vs. 3 years ago

2834% change vs. 5 years ago

10000% change vs. 10 years ago

Main Office

ATLANTA, GA

2300 WINDY RIDGE PARKWAY, ATLANTA, GA, UNITED STATES, 30339

Client AUM

Discretion	AUM
Discretionary	$4.8
Non-Discretionary	$0.1
Total	$4.9

Client	AUM
Retail	$4.7
Pooled	$0.0
Institutional	$0.3
Total	$4.9

Retail	Accounts	AUM
Individual	11,437	$2.6
Average Individual AUM		$223,051
HNW	1,047	$2.1
Average HNW AUM		$2,022,791
Retail Total	12,484	$4.7
Average Retail AUM		$373,990

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian	Location	AUM
CHARLES SCHWAB & CO., INC.	SAN FRANCISCO-CA-USA	$2.7
FIDELITY BROKERAGE SERVICES LLC	SMITHFIELD-RI-USA	$2.2

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown	AUM
Total SMA AUM	$4.9
Retail SMA AUM	$4.7
Institutional SMA AUM	$0.3

Asset Class	%	AUM
Equity Exch	45%	$2.2
Equity Non-Exch	0%	$0.0
Govt Agency	2%	$0.1
Municipal	1%	$0.0
Sovereign	0%	$0.0
IG Credit	0%	$0.0
HY Credit	0%	$0.0
Derivatives	0%	$0.0
Investment Companies	48%	$2.4
Other Pools	0%	$0.0
Cash	4%	$0.2
Other	0%	$0.0
Total	100%	$4.9

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates	AUM	Business Types	CRD Number
OSAIC WEALTH, INC.	$94.6	broker-dealer	23131
SECURITIES AMERICA ADVISORS, INC.	$40.4		110518
AMERICAN PORTFOLIOS ADVISORS. INC	$13.1		112697
ARBOR POINT ADVISORS, LLC	$6.9		165127
LADENBURG THALMANN ASSET MANAGEMENT INC	$4.3		108604
OSAIC INSTITUTIONS, INC.	$3.6	broker-dealer	35371
TRIAD ADVISORS, LLC	$1.1	broker-dealer	25803
BLACK DIAMOND FINANCIAL, LLC	$0.2		314622
TRIAD INSURANCE, INC.	$0.0		-
PREMIER TRUST, INC.	$0.0	trust company	-
HIGHLAND CAPITAL BROKERAGE INC	$0.0		-
LADENBURG THALMANN & CO. INC.	$0.0	broker-dealer	505
VISION2020 WEALTH MANAGEMENT CORP.	$0.0		154149
SECURITIES AMERICA, INC.	$0.0	broker-dealer	10205
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.	$0.0	broker-dealer	18487
OSAIC SERVICES, INC.	$0.0	broker-dealer	133763

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

25 active

Name	Title
REHN, AMY, R IAPD Broker	CHIEF OPERATING OFFICER
BERLINSKI, MILTON, RALPH IAPD Broker	MEMBER, GENERAL PARTNER, INVESTMENT MANAGER, TRUSTEE, GENERAL PARTNER
PRICE, JAMES, DALE IAPD Broker	CHAIRMAN
SCHMIDT, DAVID, ANDREW IAPD Broker	TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL
SCHLUETER, MATTHEW, ADAM IAPD Broker	EXECUTIVE VICE PRESIDENT
NORTHRIP, IRYNA, YAKOVLEVNA IAPD Broker	SVP, CHIEF COMPLIANCE OFFICER
SWENSON, EDWARD, CHRISTY IAPD Broker	PRESIDENT

ADVDB.CO • SOURCE: SEC

Representatives

147 active representatives found, showing 20 random

Name	City	State	Exams	Designations
LESTER HAY	ATLANTA	GA	S63\|1988-09-22\|S65\|2008-11-01
ANU SHARMA	ATLANTA	GA	S66\|2016-07-11
KYLE SULLIVAN	ATLANTA	GA	S63\|2004-10-11\|S65\|2009-11-23
DIANNE NOLIN	ATLANTA	GA	S63\|1991-11-26\|S65\|1994-06-14	CERTIFIED FINANCIAL PLANNER
DAVID HUDSON	ATLANTA	GA	S63\|2003-06-12	PERSONAL FINANCIAL SPECIALIST
CHARLENE BRIDGER	ATLANTA	GA	S66\|2016-12-17
BRUCE HERMANN	ATLANTA	GA	S63\|1994-04-20\|S65\|2012-10-19
JOSEPH STRIKE	ATLANTA	GA	S66\|2004-08-27	CERTIFIED FINANCIAL PLANNER
HEATHER BUCKRIDGE	ATLANTA	GA	S66\|2012-08-03\|S65\|2015-05-06\|S63\|2020-12-14	CERTIFIED FINANCIAL PLANNER
JOSEPH LYONS	ATLANTA	GA	S63\|1997-07-31\|S65\|1998-07-15	CERTIFIED FINANCIAL PLANNER\|CHARTERED FINANCIAL CONSULTANT
MICHAEL PARROTT	ATLANTA	GA	S66\|2015-11-03	CERTIFIED FINANCIAL PLANNER
YISEN CAI	ATLANTA	GA	S63\|2012-06-22	CERTIFIED FINANCIAL PLANNER
GARRETT ROHRBAUGH	ATLANTA	GA	S65\|2019-06-25
TORSTEN SAILE	ATLANTA	GA	S63\|1999-02-02\|S66\|2005-08-24	CHARTERED FINANCIAL CONSULTANT
STANLEY ROBARE	ATLANTA	GA	S63\|2009-10-02	CERTIFIED FINANCIAL PLANNER
CHRISTOPHER BEARD	ATLANTA	GA	S63\|1995-05-05\|S65\|1995-05-30	CERTIFIED FINANCIAL PLANNER
KINDRA BYERLY	ATLANTA	GA	S63\|2014-08-23\|S65\|2020-08-21
LATRICA BIRGAN	ATLANTA	GA	S63\|2020-07-16\|S65\|2020-10-14
GREGORY RICHARDS	ATLANTA	GA	S66\|1999-09-21	CERTIFIED FINANCIAL PLANNER
JEREMY FORTIN	ATLANTA	GA	S66\|2013-04-18

ADVDB.CO • SOURCE: SEC

History

Date	AUM	AUM ∆	AUM % ∆	Empl	Empl ∆	Empl % ∆
2025-03-06	$4.9	$0.0	0%	2,582	0	0%
2024-04-02	$4.9	$0.0	0%	2,582	0	0%
2023-04-04	$4.6	$0.3	7%	1,748	834	48%
2022-04-01	$5.2	-$0.2	-5%	2,037	545	27%
2021-04-05	$3.8	$1.1	30%	1,828	754	41%
2020-04-01	$3.1	$1.9	60%	88	2,494	2834%
2019-04-01	$1.5	$3.5	237%	56	2,526	4511%
2018-04-02	$0.7	$4.3	622%	29	2,553	8803%
2017-04-01	$0.5	$4.4	811%	24	2,558	10658%
2016-04-01	$0.1	$4.8	3575%	22	2,560	11636%
2015-04-01	$0.0	$4.9	12922%	12	2,570	21417%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS

GA, AK-10/17/2019, AL-07/17/2014, AR-11/04/2014, AZ-11/04/2014, CA-07/17/2014, CO-07/17/2014, CT-11/04/2014, DC-01/05/2017, DE-01/15/2016, FL-07/17/2014, GA-07/17/2014, HI-03/28/2019, IA-06/14/2018, ID-06/24/2016, IL-07/17/2014, IN-07/17/2014, KS-07/29/2016, KY-07/17/2014, LA-11/04/2014, MA-07/17/2014, MD-07/17/2014, ME-02/05/2016, MI-02/05/2016, MN-11/17/2014, MO-11/04/2014, MS-01/15/2016, MT-05/03/2019, NC-07/17/2014, ND-06/15/2020, NE-11/04/2019, NH-02/05/2016, NJ-08/01/2014, NM-07/01/2016, NV-12/05/2014, NY-11/04/2014, OH-07/17/2014, OK-05/03/2019, OR-05/27/2016, PA-07/17/2014, PR-03/30/2021, RI-06/08/2018, SC-07/17/2014, SD-01/05/2015, TN-07/17/2014, TX-07/17/2014, UT-06/24/2016, VA-07/17/2014, VI-05/03/2019, VT-05/27/2016, WA-01/05/2016, WI-01/05/2015, WV-05/27/2016, WY-11/10/2020

ADVISER ACTIVITIES

FINANCIAL PLANNING
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (SMB)
PENSION CONSULTING
MANAGER SELECTION
EDUCATIONAL WORKSHOPS

OTHER ACTIVITIES

ADVDB.CO • SOURCE: SEC FORM ADV