OSAIC WEALTH, INC.
Latest filing: Jan 24, 2025 (77 days ago)
AUM
$94,557,613,744
0% change vs. 1 year ago
235% change vs. 3 years ago
466% change vs. 5 years ago
2323% change vs. 10 years ago
Employee Count
6,838
0% change vs. 1 year ago
78% change vs. 3 years ago
131% change vs. 5 years ago
333% change vs. 10 years ago
Main Office
SCOTTSDALE, AZ
18700 N. HAYDEN ROAD, SCOTTSDALE, AZ, UNITED STATES, 85255
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $80.4 |
| Non-Discretionary | $14.1 |
| Total | $94.6 |
| Client | AUM |
|---|---|
| Retail | $91.3 |
| Pooled | $0.0 |
| Institutional | $3.3 |
| Total | $94.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 290,711 | $56.4 |
| Average Individual AUM | $194,092 | |
| HNW | 19,100 | $34.9 |
| Average HNW AUM | $1,824,885 | |
| Retail Total | 309,811 | $91.3 |
| Average Retail AUM | $294,631 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| PERSHING LLC | JERSEY CITY-NJ-USA | $73.5 |
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $11.9 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $94.6 |
| Retail SMA AUM | $91.3 |
| Institutional SMA AUM | $3.3 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 45% | $42.6 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 2% | $1.9 |
| Municipal | 1% | $0.9 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 48% | $45.4 |
| Other Pools | 0% | $0.0 |
| Cash | 4% | $3.8 |
| Other | 0% | $0.0 |
| Total | 100% | $94.6 |
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 |
|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | $40.4 | 110518 | |
| AMERICAN PORTFOLIOS ADVISORS. INC | $13.1 | 112697 | |
| ARBOR POINT ADVISORS, LLC | $6.9 | 165127 | |
| OSAIC ADVISORY SERVICES, LLC | $4.9 | 171070 | |
| 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 | |
| OSAIC SERVICES, INC. | $0.0 | broker-dealer | 133763 |
| LADENBURG THALMANN & CO. INC. | $0.0 | broker-dealer | 505 |
| VISION2020 WEALTH MANAGEMENT CORP. | $0.0 | 154149 | |
| HIGHLAND CAPITAL BROKERAGE | $0.0 | - | |
| AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | $0.0 | broker-dealer | 18487 |
| SECURITIES AMERICA, INC. | $0.0 | broker-dealer | 10205 |
| PREMIER TRUST, INC. | $0.0 | trust company | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
27 active
| Name | Title |
|---|---|
| PRICE, JAMES DALE | CHAIRMAN |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL |
| SCHLUETER, MATTHEW ADAM | EVP, DIRECTOR |
| BERLINSKI, MILTON RALPH | GENERAL PARTNER, MEMBER, INVESTMENT MEMBER, TRUSTEE |
| CORNICK, GREGORY ALLEN | CEO AND PRESIDENT |
| COONEY, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER |
| NORTHRIP, IRYNA YAKOVLEVNA | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER |
| FORD, ERINN JUNE | DIRECTOR |
| HODGE, TIMOTHY ROBERT | CHIEF OPERATIONS OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
5,049 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| SCOTT TOLAND | JERSEY CITY | NJ | S66|2021-12-15 | ||||||
| SERAFINO MAIORANO | JERSEY CITY | NJ | S63|1991-10-25|S65|2003-04-10 | ||||||
| BRADLEY ROTHHAMMER | JERSEY CITY | NJ | S63|2006-04-10|S65|2008-02-09 | ||||||
| GEOFFREY ADEN | JERSEY CITY | NJ | S63|1991-08-29|S65|1999-01-12 | ||||||
| CHRISTOPHER SPENCER | JERSEY CITY | NJ | S63|2000-09-14|S66|2014-08-20 | ||||||
| DAVID BRAUD | JERSEY CITY | NJ | S63|1986-08-14|S65|1998-09-23 | CERTIFIED FINANCIAL PLANNER | |||||
| SHAWN FISKE | JERSEY CITY | NJ | S66|2005-03-05 | CERTIFIED FINANCIAL PLANNER | |||||
| DELANO HILL | JERSEY CITY | NJ | CHARTERED FINANCIAL CONSULTANT | ||||||
| JASON WISE | JERSEY CITY | NJ | S66|2001-04-11 | ||||||
| ELIJAH MURRAY | JERSEY CITY | NJ | S63|2020-11-23 | CERTIFIED FINANCIAL PLANNER | |||||
| KELSEY BEJAR | JERSEY CITY | NJ | S66|2020-10-07 | ||||||
| DAVID FLORELL | JERSEY CITY | NJ | S63|2006-09-05 | CERTIFIED FINANCIAL PLANNER | |||||
| JOHN REED | JERSEY CITY | NJ | S63|1990-05-16|S65|2000-06-22 | CHARTERED FINANCIAL CONSULTANT | |||||
| KYLE LUM | JERSEY CITY | NJ | S63|2003-06-12|S66|2016-08-29 | CERTIFIED FINANCIAL PLANNER | |||||
| JOCELYN HOLZWARTH | JERSEY CITY | NJ | S63|1998-01-15|S65|1998-05-05 | CERTIFIED FINANCIAL PLANNER | |||||
| BRIAN BOVEE | JERSEY CITY | NJ | S63|1995-02-27|S66|2013-07-29 | ||||||
| AMY WELBORN | JERSEY CITY | NJ | S66|2020-03-07 | CERTIFIED FINANCIAL PLANNER | |||||
| CATHERINE GAUTHIER | JERSEY CITY | NJ | S63|2002-08-19|S66|2019-12-19 | ||||||
| KENT BALCH | JERSEY CITY | NJ | S63|2012-02-06|S65|2010-02-04 | ||||||
| ATHAN VORILAS | JERSEY CITY | NJ | S63|1987-11-06|S65|1997-04-11 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $94.6 | $0.0 | 0% | 6,838 | 0 | 0% |
| 2024-04-02 | $94.6 | $0.0 | 0% | 6,838 | 0 | 0% |
| 2023-04-04 | $29.5 | $65.0 | 220% | 3,704 | 3,134 | 85% |
| 2022-04-01 | $28.2 | $66.3 | 235% | 3,849 | 2,989 | 78% |
| 2021-04-05 | $20.7 | $73.9 | 358% | 3,642 | 3,196 | 88% |
| 2020-04-01 | $16.7 | $77.9 | 466% | 2,965 | 3,873 | 131% |
| 2019-04-01 | $12.6 | $81.9 | 649% | 2,951 | 3,887 | 132% |
| 2018-04-02 | $7.6 | $86.9 | 1142% | 1,933 | 4,905 | 254% |
| 2017-04-01 | $5.4 | $89.1 | 1645% | 1,563 | 5,275 | 337% |
| 2016-04-01 | $4.6 | $89.9 | 1943% | 1,648 | 5,190 | 315% |
| 2015-04-01 | $3.9 | $90.7 | 2323% | 1,580 | 5,258 | 333% |
| 2014-04-01 | $3.4 | $91.1 | 2652% | 1,420 | 5,418 | 382% |
| 2013-04-01 | $2.1 | $92.4 | 4329% | 870 | 5,968 | 686% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| AZ, AK-07/25/1991, AL-09/09/1991, AR-03/10/1992, AZ-04/27/2001, CA-07/08/1997, CO-01/01/1999, CT-10/06/1997, DC-09/10/1997, DE-06/26/1991, FL-04/27/2001, GA-08/12/1991, HI-08/20/1991, IA-01/01/1999, ID-08/15/1991, IL-09/17/1991, IN-07/25/1991, KS-12/11/1997, KY-04/27/2001, LA-10/16/2001, MA-03/28/2003, MD-08/12/1991, ME-09/13/1991, MI-04/27/2001, MN-12/02/1998, MO-07/05/1991, MS-10/03/1997, MT-11/07/1997, NC-04/10/2001, ND-07/02/1991, NE-09/25/1997, NH-04/09/1992, NJ-07/02/1991, NM-08/28/1991, NV-07/30/1991, NY-04/22/1992, OH-08/16/1999, OK-01/01/1998, OR-04/27/2001, PA-04/27/2001, PR-03/31/2008, RI-01/01/1993, SC-07/17/1991, SD-07/31/1991, TN-10/03/1997, TX-03/24/1989, UT-08/06/1991, VA-07/12/1991, VI-03/31/2011, VT-01/19/1995, WA-09/24/1991, WI-05/14/1992, WV-07/12/1991, WY-07/06/2017 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV