DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Osaic Wealth, Inc.

Broker-dealer affiliated wealth managerScottsdale, ArizonaCRD 23131SEC 801-54859website IAPD

Latest filing Aug 28, 2026

First filing on the tape Nov 28, 2011 · 194 filings

SEC status approved since Sep 10, 1997

RAUM

$235B

reported, Item 5.F

Discretionary

69%

of RAUM

Private clients

97%

$227B individuals and HNW

Advisors

8,054

registered through the firm on IAPD

RAUM per advisor

$29.2M

derived; firm RAUM over IAPD count

Employees

8,979

7,143 advisory (5.B.1)

Offices

5,586

beyond the principal office

Private funds

reported on Schedule D

History

194 filings and snapshots on the tape

RAUM$235B as of Aug 28, 2026

Mar 30, 2012$2.1B then

HNW client RAUM$113B as of Aug 28, 2026

Mar 29, 2018$3.2B then

State-registered IARs (5.B.3)6,297 as of Aug 28, 2026

Mar 30, 20120 then

Employees (5.A)8,979 as of Aug 28, 2026

Apr 1, 20131,390 then

Private funds: no history

RAUM +17% over the last fiscal year+100% a year over threeIARs 6,940 to 6,297offices 3,791 to 5,586

Practice profile

derived from the filing of Aug 28, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Consolidator · three or more firms absorbed (half or more of their registered advisors moved to this adviser within 14 days) in 24 months
PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $29.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 71derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.0MderivedHNW RAUM over HNW clients
Average account: $276,045derivedRAUM over accounts (5.F.2.f)
Discretionary: 69%derivedof RAUM
Institutional: 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.1derivedItem 5.A over advisors
Advisors per office: 1.4derived5,587 offices incl. principal (1.F.5)
RAUM growth, one year: +17%derivedbetween the last two annual amendments
Advisor growth, one year: -9.3%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.2%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients: 18,000reportedItem 5.H
Wrap fee program: $409MreportedItem 5.I
Custody: $196B, 413,922 clientsreportedItem 9.A
Ownership: a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Firms absorbed, 24 months: 5derivedhalf or more of a firm's advisors moved here within 14 days
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

is a broker-dealer (6.A.1)
is an insurance broker or agent (6.A.6)
buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$113B48%
High-net-worth individuals$113B48%
Corporations and businesses$5.4B2.3%
Charitable organizations$1.6B0.7%
Pension and profit-sharing plans$1.1B0.5%
State and municipal entities$14.4M0.0%
Banks and thrifts$985,3090.0%
Pooled investment vehicles$224,3910.0%

Individual clients: 513,910reported
HNW clients: 55,457reported
Pension plan clients: 1,251reported
Charitable clients: 855reported
Accounts: 850,797reported
Financial planning clients: 18,000reported
Wrap fee programs: $0 sponsored, $58B managedreported
Custody of client assets: $196B for 413,922 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=7655.0derived

Advisors registered through the firm

7,850 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Stephen Keith Wood	Amarillo, Tx	Nov 19, 1989	41 y	0
Darryl Lester Meyerovitz	Dallas, Tx	Nov 19, 1989	43 y	0
James Stanford MarroquinCertified Financial Planner	Austin, Tx	Nov 19, 1989	50 y	0
Lauren Ross Pedersen	Verona, Wi	May 14, 1992	43 y	1
Timothy Austin McallisterCertified Financial Planner	Onalaska, Wi	May 14, 1992	40 y	1
Janice Elaine Gage	Austin, Tx	May 28, 1992	36 y	0
Gregg Richard AndersonCertified Financial Planner	Arden Hills, Mn	Apr 17, 1995	45 y	1
David Lee Schamerhorn	Houston, Tx	Jun 2, 1995	39 y	0
Philip Alan HartwellCertified Financial Planner	Torrance, Ca	Jul 8, 1997	41 y	1
Norman Bradford Tucker	La Quinta, Ca	Jul 8, 1997	32 y	1
Edward Aaron KofmanCertified Financial Planner	Alameda, Ca	Jul 8, 1997	40 y	0
Susan Jane RedeCertified Financial Planner	Monterey, Ca	Jul 8, 1997	42 y	0
Gary Thomas Charlebois	Lake Havasu City, Az	Jul 8, 1997	39 y	0
Mary Teresa AllenCertified Financial Planner	Walnut Creek, Ca	Jul 8, 1997	34 y	2
Todd Sanford Davidson	Torrance, Ca	Jul 8, 1997	31 y	0
Amy Schloss FosterCertified Financial Planner	Torrance, Ca	Jul 8, 1997	34 y	0
James Victor Bogdan	Irvine, Ca	Jul 8, 1997	37 y	0
Michael Lawrence Weintraub	Walnut Creek, Ca	Jul 8, 1997	32 y	2
James William Brennan	Mishawaka, In	Dec 8, 1998	40 y	0
Paul Michael Soraci	Fort Collins, Co	Jan 1, 1999	36 y	1
John Giles BakerCertified Financial Planner	Chesterfield, Mo	Nov 17, 1999	36 y	1
Peter Ross Deluca	Grover, Mo	Nov 17, 1999	41 y	1
George Robert NagelCertified Financial Planner	St. Charles, Mo	Nov 17, 1999	47 y	1
Gordon Thomas Robinson	Tulsa, Ok	Sep 22, 2000	43 y	0
Maurice Idor Clein	Tustin, Ca	Jan 8, 2001	35 y	1
David Lynn Eppey	Lake Forest, Ca	Jan 23, 2001	28 y	2
Phillip Bridger Parsons	Fort Collins, Co	Mar 8, 2001	27 y	1
Edgar Lee Allison	Pensacola, Fl	Apr 27, 2001	42 y	0
Robert Hyde Moring	Boca Raton, Fl	Apr 27, 2001	43 y	1
Raoul Hedley Dubery	Tustin, Ca	May 15, 2001	28 y	1
Craig Michael Truman	Tustin, Ca	Jun 19, 2001	40 y	1
Thomas Edward Raguse	Tustin, Ca	Jul 27, 2001	32 y	2
Christopher Francis Kelly	Tustin, Ca	Aug 14, 2001	32 y	1
James John Schofield	San Francisco, Ca	Jan 27, 2002	36 y	0
Richard Lee BeboChartered Financial Consultant	Sandy, Ut	Mar 11, 2002	40 y	1
Daniel MeyerovitzCertified Financial Planner	Dallas, Tx	Sep 16, 2002	24 y	0
Daniel James Thompson	Butte, Mt	Dec 19, 2002	33 y	1
Caspar Michael UnterreinerChartered Financial Consultant	Chesterfield, Mo	Jan 3, 2003	45 y	1
Julia Renee Kaminski	Upland, Ca	Jan 21, 2003	38 y	1
Steven Richard Ogorman	Cherry Hill, Nj	Jun 5, 2003	36 y	0

All 7,850 advisors at Osaic Wealth, Inc.

Advisor movement

429 left, 348 joined in 12 months

net -81 in 12 months99 left in 90 days80 joined in 90 daysdeparture rate 5.3% of current headcount1,370 left over 36 months

Left, latest

Ryan Phillip Russo to LPL Financial LLC
Sep 16, 2026 · Affiliated broker-dealer or bank to another
Mark William Giordano to LPL Financial LLC
Sep 16, 2026 · Affiliated broker-dealer or bank to another
Michael Patrick Momper to Mercer Global Advisors Inc.
Sep 15, 2026 · Affiliated broker-dealer or bank to independent RIA
Roy A Schoenfeld to MML Investors Services, LLC
Sep 10, 2026 · Affiliated broker-dealer or bank to another
Michael Charles Marangola to LPL Financial LLC
Sep 8, 2026 · Affiliated broker-dealer or bank to another
Peter David Falstad to The Ameriflex Group
Sep 4, 2026 · Affiliated broker-dealer or bank to another
Stephen Claude Carter to LPL Financial LLC
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Christine Kaydee Hoenig Garcia to LPL Financial LLC
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Tanner Lane Kennedy to Cetera Investment Advisers LLC
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Joshua Brooks to The Ameriflex Group
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Nathaniel Scott Farney to The Ameriflex Group
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Vince Lagatta to LPL Financial LLC
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Grant Anthony Seybold to LPL Financial LLC
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Brian Ashley Nelson to Cetera Investment Advisers LLC
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Trent Scott Seybold to LPL Financial LLC
Sep 2, 2026 · Affiliated broker-dealer or bank to another

Joined, latest

Jennifer K Imel from Northwestern Mutual Investment Services,LLC
Sep 16, 2026 · Other
Rey Deborja from Ameriprise Financial Services, LLC
Sep 16, 2026 · Affiliated broker-dealer or bank to another
Kayla Clark from Morgan Stanley
Sep 12, 2026 · Wirehouse to affiliated broker-dealer or bank
Carmen Jean Richards from LPL Financial LLC
Sep 9, 2026 · Affiliated broker-dealer or bank to another
Warren Stephen Mcclellan from Pruco Securities, LLC
Sep 8, 2026 · Affiliated broker-dealer or bank to another
Nicole A Treiber from Xml Financial Group
Sep 3, 2026 · RIA to affiliated broker-dealer or bank
Joann Fontanez from Osaic Advisory Services, LLC
Sep 3, 2026 · Affiliated broker-dealer or bank to another
Amanda Marie Duran from LPL Financial LLC
Sep 3, 2026 · Affiliated broker-dealer or bank to another
Jacob D Mcfarlane from Charles Schwab & Co., Inc.
Sep 3, 2026 · Affiliated broker-dealer or bank to another
Justin Nicholas Loukota from Raymond James Financial Services Advisors, Inc
Sep 1, 2026 · Affiliated broker-dealer or bank to another
Joseph Tarpey from Beacon Capital Management, Inc.
Sep 1, 2026 · RIA to affiliated broker-dealer or bank
Ryan Landmark from Northwestern Mutual Investment Services,LLC
Aug 31, 2026 · Other
Bryan Michael Shank from Ameritas Advisory Services, LLC
Aug 31, 2026 · Affiliated broker-dealer or bank to another
Chad Mitchell from Edward Jones
Aug 28, 2026 · Affiliated broker-dealer or bank to another
Jordan Marc Hirsch from MML Investors Services, LLC
Aug 27, 2026 · Affiliated broker-dealer or bank to another

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for LPL Financial LLC
Sep 16, 2026 · Rye, Ny
2 left for Cetera Investment Advisers LLC
Sep 2, 2026 · Rainbow City, Al
3 left for The Ameriflex Group
Sep 2, 2026 · Bloomington, Il
4 left for LPL Financial LLC
Sep 2, 2026 · Calabasas, Ca
2 left for LPL Financial LLC
Aug 14, 2026 · Scottsdale, Az
6 left for LPL Financial LLC
Aug 14, 2026 · Portland, Me
2 left for LPL Financial LLC
Aug 13, 2026 · Lodi, Wi
2 left for Copper Beech Financial Group, LLC
Aug 4, 2026 · Moorestown, Nj

4 joined from Osaic Advisory Services, LLC
Sep 3, 2026 · El Paso, Tx
6 joined from Wagner Loftin Investment Services LLC
Sep 2, 2026 · Pleasant Hill, Ca · Firm absorbed
7 joined from Commonwealth Financial Network
Aug 20, 2026 · Fitchburg, Wi
2 joined from Stifel Independent Advisors, LLC
Aug 5, 2026 · St Louis, Mo
2 joined from Ameriprise Financial Services, LLC
Jul 20, 2026 · Cedar Rapids, Ia
2 joined from Integrity Alliance, LLC
Jul 17, 2026 · Urbandale, Ia
2 joined from Good Life Advisors, LLC
Jul 17, 2026 · Celebration, Fl
2 joined from Kestra Advisory Services, LLC
Jun 25, 2026 · New Albany, Oh

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Gregory Allen Cornick · Ceo And Presidentcontrol
since 01/2021 · owns less than 5%
Timothy Robert Hodge · Chief Operations Officercontrol
since 11/2023 · owns less than 5%
James Dale Price · Chairmancontrol
since 11/2016 · owns less than 5%
Matthew Adam Schlueter · Evp, Directorcontrol
since 01/2016 · owns less than 5%
Milton Ralph Berlinski · Investment Membercontrol
since 08/2014 · owns F of Mrb Icbc LLC
Milton Ralph Berlinski · Membercontrol
since 08/2014 · owns 25% to 50% of Rcp Genpar Holdco LLC
Milton Ralph Berlinski · Trusteecontrol
since 06/2006 · owns 25% to 50% of The Berlinski Family 2006 Trust
Milton Ralph Berlinski · General Partnercontrol
since 08/2014 · owns F of Rcp Genpar LP
John Michael Cooney · Chief Compliance Officer
since 06/2023 · owns less than 5%
Erinn June Ford · Director
since 09/2023 · owns less than 5%
Jason Harris Gerb · Svp, Chief Regulatory Officer
since 09/2023 · owns less than 5%
Iryna Yakovlevna Northrip · Chief Compliance Officer, Investment Advisory
since 08/2023 · owns less than 5%
David Martin Schmidt · Treasurer, Financial And Operations Principal
since 03/2017 · owns less than 5%

Entity owners

Osaic, Inc. · Shareholder
direct · owns 75% or more
Ag Artemis Holdings Gp, LLC · General Partner
indirect · owns F of Ag Artemis Holdings, L.P.
Ag Artemis Holdings,L.P. · Shareholder
indirect · owns 75% or more of Ag Intermediate Corporation
Ag Intermediate Corporation · Shareholder
indirect · owns 75% or more of Osaic Financial Services, Inc.
Ag Parent Corporation · Shareholder
indirect · owns 75% or more of Osaic Holdings, Inc.
Mrb Icbc LLC · Member
indirect · owns 25% to 50% of Rcp Genpar Holdco LLC
Osaic Financial Services, Inc. · Shareholder
indirect · owns 75% or more of Ag Parent Corporation
Osaic Holdings, Inc. · Shareholder
indirect · owns 75% or more of Osaic, Inc.
Rcp Artemis Co-Invest Gp LLC · General Partner
indirect · owns F of Rcp Artemis Co-Invest, L.P.
Rcp Artemis Co-Invest, L.P. · Limited Partner
indirect · owns 50% to 75% of Ag Artemis Holdings, L.P.
Rcp Genpar Holdco LLC · Limited Partner
indirect · owns 75% or more of Rcp Genpar LP
Rcp Genpar LP · Limited Partner
indirect · owns 75% or more of Rcp Opp Fund II Gp, LP
Rcp Opp Fund II Gp, LP · Limited Partner
indirect · owns 75% or more of Rcp Artemis Co-Invest Gp, LLC
The Berlinski Family 2006 Trust · Member
indirect · owns 75% or more of Mrb Icbc LLC

Related persons

Schedule D 7.A

Arbor Point Advisors
investment advisernRAUM $6.9B
Black Diamond Financial, LLC
investment advisernRAUM $441M
Highland Capital Brokerage
real estaten
Ladenburg Thalmann & Co. Inc.
broker-dealern
Ladenburg Thalmann Asset Management Inc
investment adviserpooled vehicle sponsornRAUM $6.7B
Osaic Advisory Services, LLC
investment advisernRAUM $15B
Osaic Fa, Inc.
broker-dealerinvestment advisernRAUM $37B
Osaic Fs, Inc.
broker-dealerinvestment advisernRAUM $4.5B
Osaic Institutions, Inc.
broker-dealerinvestment adviserreal estatenRAUM $6.5B
Sagepoint Financial, Inc.
broker-dealernRAUM $16B
Premier Trust, Inc.
n
Vision2020 Wealth Management Corp.
investment advisern

Advisers that list Osaic Wealth, Inc. as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out
Scottsdale, Az · principal	396	54	55	8
Irvine, Ca	74	7	3	1
Maumee, Oh	68	3	2
San Diego, Ca	66	4	1
Southfield, Mi	63	4	0
Raleigh, Nc	62	7	14	1
Omaha, Ne	61	10	1
Houston, Tx	60	1	2
Chicago, Il	58	6	4
Honolulu, Hi	57	3	0
Rochester, Ny	55	3	8	3
Overland Park, Ks	49	4	0
Melville, Ny	48	1	0
Lincoln, Ne	47	8	2
Wichita, Ks	46	10	4	1
Hunt Valley, Md	45	2	5
Atlanta, Ga	44	1	0
San Ramon, Ca	43	3	6	1
Sacramento, Ca	40	3	1
Tampa, Fl	38	5	0

All 60 offices

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 12 since 2015, 5 in 24 monthsderived
Advisors acquired: 55derived
Still registered after 90 days: 98% of 49derived
After 180 days: 90% of 49derived
After 365 days: 88% of 33derived
After 730 days: 79% of 29derived
Team lift-outs after: 757derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

Maumee, OH47 employees
Melville, NY34 employees
Southfield, MI34 employees
Bellevue, WA26 employees
Livingston, NJ21 employees
Fort Lauderdale, FL21 employees
Needham Heights, MA20 employees
Honolulu, HI20 employees
Raleigh, NC19 employees
Jericho, NY14 employees
Brookfield, WI13 employees
San Antonio, TX13 employees
Milwaukee, WI13 employees
Mishawaka, IN12 employees
Warwick, RI12 employees
Warrenville, IL12 employees
Lafayette, CA12 employees
New Brighton, MN11 employees
Rochester, MN11 employees
Braintree, MA11 employees
Oakbrook Terrace, IL11 employees
Raleigh, NC10 employees
Billings, MT10 employees
Columbus, OH10 employees
Camarillo, CA10 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

HNW share shiftChange between filings · filing Mar 31, 2026
HNW share of RAUM moved from 33.0% to 48.0% between the annual amendments of 2025-03-31 and 2026-03-31
peers: affiliated wealth managers, $20B and over (50)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 797,559 to 850,797
Jan 7, 2026 to Mar 31, 2026
Advisory employees · 6,276 to 7,143
Jan 7, 2026 to Mar 31, 2026
BD registered reps · 7,489 to 7,655
Jan 7, 2026 to Mar 31, 2026
Charity clients · 2,475 to 855
Jan 7, 2026 to Mar 31, 2026
Corporate clients · 3,800 to 4,024
Jan 7, 2026 to Mar 31, 2026
HNW clients · 56,600 to 55,457
Jan 7, 2026 to Mar 31, 2026
Individual clients · 505,860 to 513,910
Jan 7, 2026 to Mar 31, 2026
Pension plan clients · 6,083 to 1,251
Jan 7, 2026 to Mar 31, 2026
Pooled vehicle clients · 2 to 3
Jan 7, 2026 to Mar 31, 2026
Assets in custody · $163B to $196B
Jan 7, 2026 to Mar 31, 2026
Employees · 8,717 to 8,979
Jan 7, 2026 to Mar 31, 2026
Insurance-licensed employees · 250 to 172
Jan 7, 2026 to Mar 31, 2026
State-registered IARs · 6,940 to 6,297
Jan 7, 2026 to Mar 31, 2026
Other offices · 3,791 to 5,586
Jan 7, 2026 to Mar 31, 2026
Discretionary RAUM · $132B to $161B
Jan 7, 2026 to Mar 31, 2026
HNW RAUM · $66B to $113B
Jan 7, 2026 to Mar 31, 2026
Individual RAUM · $128B to $113B
Jan 7, 2026 to Mar 31, 2026
Non-discretionary RAUM · $68B to $74B
Jan 7, 2026 to Mar 31, 2026
Pension RAUM · $957M to $1.1B
Jan 7, 2026 to Mar 31, 2026
Pooled vehicle RAUM · $267,436 to $224,391
Jan 7, 2026 to Mar 31, 2026
RAUM · $200B to $235B
Jan 7, 2026 to Mar 31, 2026
Wrap assets (manager) · $45B to $58B
Jan 7, 2026 to Mar 31, 2026
Financial planning clients · More than 500 to More than 500
May 22, 2025 to Jun 13, 2025
Accounts · 437,201 to 797,559
Jan 24, 2025 to Mar 31, 2025
Advisory employees · 4,397 to 6,276
Jan 24, 2025 to Mar 31, 2025
BD registered reps · 5,034 to 7,489
Jan 24, 2025 to Mar 31, 2025
Charity clients · 669 to 2,475
Jan 24, 2025 to Mar 31, 2025
Corporate clients · 1,852 to 3,800
Jan 24, 2025 to Mar 31, 2025
HNW clients · 19,100 to 56,600
Jan 24, 2025 to Mar 31, 2025
Individual clients · 290,711 to 505,860
Jan 24, 2025 to Mar 31, 2025
Pension plan clients · 4,401 to 6,083
Jan 24, 2025 to Mar 31, 2025
Pooled vehicle clients · 1 to 2
Jan 24, 2025 to Mar 31, 2025
Assets in custody · $85B to $163B
Jan 24, 2025 to Mar 31, 2025
Employees · 6,838 to 8,717
Jan 24, 2025 to Mar 31, 2025
Insurance-licensed employees · 238 to 250
Jan 24, 2025 to Mar 31, 2025
State-registered IARs · 4,617 to 6,940
Jan 24, 2025 to Mar 31, 2025
Other offices · 1,670 to 3,791
Jan 24, 2025 to Mar 31, 2025
Discretionary RAUM · $80B to $132B
Jan 24, 2025 to Mar 31, 2025
HNW RAUM · $35B to $66B
Jan 24, 2025 to Mar 31, 2025
Individual RAUM · $56B to $128B
Jan 24, 2025 to Mar 31, 2025

Signals

60 dated events

Vincent Huy Nguyen no longer holds an investment adviser registration (last listed at Osaic Wealth, Inc. on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Michael Kenneth Hulse no longer holds an investment adviser registration (last listed at Osaic Wealth, Inc. on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Timothy John Beecher registered as an investment adviser representative at Osaic Wealth, Inc.
Sep 16, 2026 · Advisor registered · fact
Rey Deborja registered as an investment adviser representative at Osaic Wealth, Inc.
Sep 16, 2026 · Advisor registered · fact
Jennifer K Imel registered as an investment adviser representative at Osaic Wealth, Inc.
Sep 16, 2026 · Advisor registered · fact
Gregg Richard Anderson added a WV registration at Osaic Wealth, Inc.
Sep 16, 2026 · New state registration · fact
Ryan Phillip Russo left Osaic Wealth, Inc. for LPL Financial LLC (registered 2026-09-14)
Sep 16, 2026 · Advisor changed firm · fact
Mark William Giordano left Osaic Wealth, Inc. for LPL Financial LLC (registered 2026-09-14)
Sep 16, 2026 · Advisor changed firm · fact
2 advisors left Osaic Wealth, Inc. (Rye, NY) for LPL Financial LLC on the same day
Sep 16, 2026 · Team lift-out · derived
Margaret Ann Salamy no longer holds an investment adviser registration (last listed at Osaic Wealth, Inc. on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
Thomas H Roddis no longer holds an investment adviser registration (last listed at Osaic Wealth, Inc. on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
Carter Chase Mengedoth registered as an investment adviser representative at Osaic Wealth, Inc.
Sep 15, 2026 · Advisor registered · fact
Tenley Rae Cavanagh registered as an investment adviser representative at Osaic Wealth, Inc.
Sep 15, 2026 · Advisor registered · fact
Kylie Elizabeth Davis registered as an investment adviser representative at Osaic Wealth, Inc.
Sep 15, 2026 · Advisor registered · fact
Eric J Gilmore registered as an investment adviser representative at Osaic Wealth, Inc.
Sep 15, 2026 · Advisor registered · fact
Cory Todd Schmelzer added a NV registration at Osaic Wealth, Inc.
Sep 15, 2026 · New state registration · fact
Michael Patrick Momper left Osaic Wealth, Inc. for Mercer Global Advisors Inc. (registered 2026-09-02)
Sep 15, 2026 · Advisor changed firm · fact
David Carlson Pekala no longer holds an investment adviser registration (last listed at Osaic Wealth, Inc. on the 2026-09-14 feed)
Sep 14, 2026 · Advisor registration ended · derived
Pawon Vik Kummar registered as an investment adviser representative at Osaic Wealth, Inc.
Sep 14, 2026 · Advisor registered · fact
Austin Stevens registered as an investment adviser representative at Osaic Wealth, Inc.
Sep 14, 2026 · Advisor registered · fact
Donn L Rutledge added a FL registration at Osaic Wealth, Inc.
Sep 14, 2026 · New state registration · fact
Roy A Schoenfeld left Osaic Wealth, Inc. for MML Investors Services, LLC (registered 2026-09-15)
Sep 10, 2026 · Advisor changed firm · fact
Michael Charles Marangola left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2026-08-31)
Sep 8, 2026 · Advisor changed firm · fact
Peter David Falstad left Osaic Wealth, Inc. for The Ameriflex Group (registered 2026-08-31)
Sep 4, 2026 · Advisor changed firm · fact
Mark H. Kaizerman no longer registered at Osaic Wealth, Inc.; no later IA registration on IAPD
Sep 3, 2026 · Advisor departure · fact
3 advisors left Osaic Advisory Services, LLC (EL Paso, TX) for Osaic Wealth, Inc. on the same day
Sep 3, 2026 · Team lift-out · derived
Stephen Claude Carter left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2026-08-31)
Sep 2, 2026 · Advisor changed firm · fact
Trent Scott Seybold left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2026-08-31)
Sep 2, 2026 · Advisor changed firm · fact
Grant Anthony Seybold left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2026-08-31)
Sep 2, 2026 · Advisor changed firm · fact
Vince Lagatta left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2026-09-02)
Sep 2, 2026 · Advisor changed firm · fact

Across DFX

shared identifiers only, never a name match

Osaic Wealth, Inc. · Private Equity
shared crd · intermediary
Royal Alliance Associates · Venture Capital
shared crd · org

How to reach

public business contact points only, each with its source

Business email: brittany.chambers@osaic.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: joinosaic@osaic.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 800-367-5690reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 800-987-9299reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 877-310-4977reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/91359962reportedpublic record, Form ADV, Sep 17, 2026
Firm profile: linkedin.com/company/royal-alliance-associates-increportedpublic record, Form ADV, Sep 17, 2026
Website: osaic.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 800-821-5100reportedpublic record, Form ADV, Aug 28, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $29.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026