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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)14 years in industry

Carmen David Caruso

Advisor at OSAIC WEALTH, INC.

Rochester, NY

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Search this name across graphsid dfx:ria:c9e7ed66-855d-6c34-165d-bcab461519cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jun 11, 2021 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC WEALTH, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Jun 17, 2020
First registration: Jun 11, 2021
Dual registered: yes, broker-dealer
IAPD individual key: 7135850

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC WEALTH, INC.	Bd affiliated wealth	May 7, 2026	n/a	yes	Rochester, NY	Current employment
DEL-SETTE CAPITAL MANAGEMENT, LLC	Independent wealth	Jul 11, 2023	Sep 30, 2025	no	SCHENECTADY, NY	Previous registration
TACONIC ADVISORS	Independent wealth	Nov 15, 2022	Jun 20, 2023	no	SAUGERTIES, NY	Previous registration
DEL-SETTE CAPITAL MANAGEMENT, LLC	Independent wealth	Jun 11, 2021	Jul 14, 2022	no	SCHENECTADY, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
DEL-SETTE CAPITAL MANAGEMENT, LLC	OSAIC WEALTH, INC.	Sep 30, 2025	May 7, 2026	219	Firm change	RIA to ibd
TACONIC ADVISORS	DEL-SETTE CAPITAL MANAGEMENT, LLC	Jun 20, 2023	Jul 11, 2023	21	Firm change	RIA to RIA
DEL-SETTE CAPITAL MANAGEMENT, LLC	TACONIC ADVISORS	Jul 14, 2022	Nov 15, 2022	124	Firm change	RIA to RIA

Relationships

Registered with (3)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
May 7, 2026 to presentfactForm ADV
→ DEL-SETTE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 11, 2023 to Sep 30, 2025factForm ADV
→ TACONIC ADVISORSRegistered adviserregistration: previous registration
Nov 15, 2022 to Jun 20, 2023factForm ADV

Dated events

Occurred
Sep 30, 2025
Advisor changed firm
Carmen David Caruso left Del-Sette Capital Management, Llc for Osaic Wealth, Inc. (registered 2026-05-07)
Form ADVobserved 5 days ago
Occurred
Jun 20, 2023
Advisor changed firm
Carmen David Caruso left Taconic Advisors for Del-Sette Capital Management, Llc (registered 2023-07-11)
Form ADVobserved 5 days ago
Occurred
Jul 14, 2022
Advisor changed firm
Carmen David Caruso left Del-Sette Capital Management, Llc for Taconic Advisors (registered 2022-11-15)
Form ADVobserved 5 days ago