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

James Paul Berndt

Advisor at OSAIC WEALTH, INC.

SUN CITY CENTER, FL | SARASOTA, FL

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Search this name across graphsid dfx:ria:cfd5c5ba-86d1-9441-5d59-891829d16abd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Sep 13, 2018 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: Jun 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Aug 21, 2018
First registration: Sep 13, 2018
Dual registered: yes, broker-dealer
IAPD individual key: 6996966

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	Jul 25, 2025	n/a	yes	SUN CITY CENTER, FL\|SARASOTA, FL	Current employment
Corient	Independent wealth	Jul 2, 2024	Jul 30, 2025	no	St. Petersburg, FL	Previous registration
THE MATHER GROUP, LLC	Independent wealth	Nov 17, 2021	Jul 12, 2024	no	Tampa, FL\|CHICAGO, IL	Previous registration
ERNST & YOUNG INVESTMENT ADVISERS LLP	No RAUM reported	Sep 13, 2018	Nov 11, 2021	no	Tampa, FL	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
Corient	OSAIC WEALTH, INC.	Jul 30, 2025	Jul 25, 2025	-5	Firm change	RIA to ibd
THE MATHER GROUP, LLC	Corient	Jul 12, 2024	Jul 2, 2024	-10	Firm change	RIA to RIA
ERNST & YOUNG INVESTMENT ADVISERS LLP	THE MATHER GROUP, LLC	Nov 11, 2021	Nov 17, 2021	6	Firm change	Other

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jul 25, 2025 to presentfactForm ADV
→ CORIENTRegistered adviserregistration: previous registration
Jul 2, 2024 to Jul 30, 2025factForm ADV
→ THE MATHER GROUP, LLCRegistered adviserregistration: previous registration
Nov 17, 2021 to Jul 12, 2024factForm ADV
→ ERNST & YOUNG INVESTMENT ADVISERS LLPRegistered adviserregistration: previous registration
Sep 13, 2018 to Nov 11, 2021factForm ADV

Dated events

Occurred
Jul 30, 2025
Advisor changed firm
James Paul Berndt left Corient for Osaic Wealth, Inc. (registered 2025-07-25)
Form ADVobserved 5 days ago
Occurred
Jul 12, 2024
Advisor changed firm
James Paul Berndt left The Mather Group, Llc for Corient (registered 2024-07-02)
Form ADVobserved 5 days ago