OSAIC WEALTH, INC.
Latest filing: Mar 31, 2025 (76 days ago)
AUM
$200,266,275,275
112% change vs. 1 year ago
609% change vs. 3 years ago
1099% change vs. 5 years ago
5031% change vs. 10 years ago
Employee Count
8,717
27% change vs. 1 year ago
126% change vs. 3 years ago
194% change vs. 5 years ago
452% change vs. 10 years ago
Main Office
SCOTTSDALE, AZ
18700 N. HAYDEN ROAD, SCOTTSDALE, AZ, UNITED STATES, 85255
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $132.2 |
| Non-Discretionary | $68.1 |
| Total | $200.3 |
| Client | AUM |
|---|---|
| Retail | $193.8 |
| Pooled | $0.0 |
| Institutional | $6.5 |
| Total | $200.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 505,860 | $127.9 |
| Average Individual AUM | $252,856 | |
| HNW | 56,600 | $65.9 |
| Average HNW AUM | $1,164,132 | |
| Retail Total | 562,460 | $193.8 |
| Average Retail AUM | $344,557 |
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 | $200.3 |
| Retail SMA AUM | $193.8 |
| Institutional SMA AUM | $6.5 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 43% | $86.1 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 1% | $2.0 |
| Municipal | 2% | $4.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $2.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 50% | $100.1 |
| Other Pools | 0% | $0.0 |
| Cash | 3% | $6.0 |
| Other | 0% | $0.0 |
| Total | 100% | $200.3 |
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 | |
| OSAIC ADVISORY SERVICES, LLC | $12.5 | 171070 | |
| ARBOR POINT ADVISORS, LLC | $6.9 | 165127 | |
| LADENBURG THALMANN ASSET MANAGEMENT INC | $5.6 | 108604 | |
| OSAIC INSTITUTIONS, INC. | $4.0 | broker-dealer | 35371 |
| TRIAD ADVISORS, LLC | $1.1 | broker-dealer | 25803 |
| BLACK DIAMOND FINANCIAL, LLC | $0.4 | 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 | |||||
|---|---|---|---|---|---|---|---|---|---|
| JIMMY HOLLAND | JERSEY CITY | NJ | S66|2009-04-02|S63|2024-01-29 | ||||||
| JAMES MARROQUIN | JERSEY CITY | NJ | S63|1984-08-21 | CERTIFIED FINANCIAL PLANNER | |||||
| WESLEY CROSBY | JERSEY CITY | NJ | S66|2016-04-27 | ||||||
| DAVID MIRE | JERSEY CITY | NJ | S63|1986-10-17 | ||||||
| JAY NISSLEY | JERSEY CITY | NJ | S63|1998-04-24|S66|2010-05-24 | ||||||
| ESSAM IBRAHIM | JERSEY CITY | NJ | S63|1997-04-14|S65|1999-06-25 | ||||||
| LEE MORRISON | JERSEY CITY | NJ | S63|2016-11-23|S65|2021-01-15 | ||||||
| ALAN IINUMA | JERSEY CITY | NJ | S63|2008-10-06|S66|2011-05-06 | ||||||
| BRENNAN BAIZE | JERSEY CITY | NJ | S66|2022-11-21 | ||||||
| JULIA BRUFKE WENGER | JERSEY CITY | NJ | S63|1998-07-31|S65|1999-02-03 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL CONSULTANT | |||||
| RUSSELL KARBAN | JERSEY CITY | NJ | S63|1992-07-14|S65|1999-12-10 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL CONSULTANT | |||||
| ALBERT KUIPER | JERSEY CITY | NJ | S63|2001-03-23|S65|2010-06-24 | ||||||
| LESLIE KLUG | JERSEY CITY | NJ | S63|2014-08-25|S65|2016-06-24 | ||||||
| DAVID GOODRICH | JERSEY CITY | NJ | S63|1997-11-03|S65|2005-03-02 | ||||||
| ALYSSA JARMAN | JERSEY CITY | NJ | S66|2016-05-11 | CERTIFIED FINANCIAL PLANNER | |||||
| HEIDI FIFIELD | JERSEY CITY | NJ | S66|2018-05-08 | ||||||
| JOHN GILL | JERSEY CITY | NJ | S63|2007-02-15|S65|2008-03-13 | ||||||
| GRAHAM BURKE | JERSEY CITY | NJ | S66|2021-08-12 | ||||||
| MINDY ZATTA | JERSEY CITY | NJ | S63|2001-08-09|S65|2004-10-25 | CERTIFIED FINANCIAL PLANNER | |||||
| DANIEL FLEES | JERSEY CITY | NJ | S63|1993-07-26|S65|2019-05-10 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $200.3 | $0.0 | 0% | 8,717 | 0 | 0% |
| 2025-04-21 | $200.3 | $0.0 | 0% | 8,717 | 0 | 0% |
| 2024-04-02 | $94.6 | $105.7 | 112% | 6,838 | 1,879 | 27% |
| 2023-04-04 | $29.5 | $170.7 | 578% | 3,704 | 5,013 | 135% |
| 2022-04-01 | $28.2 | $172.0 | 609% | 3,849 | 4,868 | 126% |
| 2021-04-05 | $20.7 | $179.6 | 870% | 3,642 | 5,075 | 139% |
| 2020-04-01 | $16.7 | $183.6 | 1099% | 2,965 | 5,752 | 194% |
| 2019-04-01 | $12.6 | $187.6 | 1487% | 2,951 | 5,766 | 195% |
| 2018-04-02 | $7.6 | $192.7 | 2530% | 1,933 | 6,784 | 351% |
| 2017-04-01 | $5.4 | $194.8 | 3595% | 1,563 | 7,154 | 458% |
| 2016-04-01 | $4.6 | $195.6 | 4226% | 1,648 | 7,069 | 429% |
| 2015-04-01 | $3.9 | $196.4 | 5031% | 1,580 | 7,137 | 452% |
| 2014-04-01 | $3.4 | $196.8 | 5729% | 1,420 | 7,297 | 514% |
| 2013-04-01 | $2.1 | $198.1 | 9280% | 870 | 7,847 | 902% |
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