{ "crd_number": 171070, "slug": "osaic-advisory-services-llc-atlanta-ga-171070", "primary_business_name": "OSAIC ADVISORY SERVICES, LLC", "legal_name": "OSAIC ADVISORY SERVICES, LLC", "dbas": [ "76 WEALTH ADVISORY", "A. GAINES FINANCIAL", "AB WEALTH MANAGEMENT", "AEON WEALTH MANAGEMENT", "AIELLO WEALTH MANAGEMENT", "AILERON WEALTH MANAGEMENT", "ALERA GROUP", "AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.", "ANNA C. WINSLOW, CPA", "ARM WEALTH MANAGEMENT", "ARMSTRONG FINANCIAL PARTNERS", "ASCENT FINANCIAL GROUP", "BAIKIE AND ALCANTARA", "BARONS FINANCIAL STRATEGIES INC.", "BASECAMP INVESTMENTS", "BEACON BALANCED WEALTH", "BEACON FINANCIAL GROUP", "BLAKE GALLION, CFP", "BLOOMFIELD HILLS ADVISORY", "BLUE WATERS WEALTH ADVISORS", "BOKEH FINANCIAL, LLC", "BRAND & CO. 401(K) ADVISORS", "BRAND & COMPANY 401(K) ADVISORS AND PRIVATE WEALTH MANAGEMENT", "BRIGGS FINANCIAL SERVICES", "BRODE FINANCIAL GROUP", "CADENT WEALTH MANAGEMENT", "CAPITAL & BUSINESS PLANNING", "CHESTNUT FINANCIAL GROUP", "CHESTNUT FINANCIAL GROUP LLC", "CLARITY CAPITAL MANAGEMENT", "CLEARVIEW FINANCIAL, LLC", "CORNERSTONE ASSET MANAGEMENT", "CREATIVE FINANCIAL PARTNERS", "CTM FINANCIAL GROUP, LLC", "CTM WEALTH ADVISORS", "CVACH FINANCIAL SERVICES", "DANIELS FINANCIAL SERVICES", "DARWISH FINANCIAL", "DELMARVA FINANCIAL GROUP", "DELTA FINANCIAL GROUP (DFG)", "DIAMOND FINANCIAL PARTNERS", "DUO WEALTH", "DUO WEALTH ADVISORS, LLC", "EM FINANCIAL", "EMERALD CITY FIDUCIARY GROUP", "EMICO ADVISORY SERVICES", "EMPOWER WEALTH MANAGEMENT", "FIDUCIARY FINANCIAL SERVICES", "FINANCIA ADVISORS", "FINANCIAL SOLUTIONS", "FINEST FINANCIAL GROUP", "FIRST CHOICE FINANCIAL", "FORTRESS WEALTH ADVISORS", "FREEDOM POINT FINANCIAL", "G&P FINANCIAL", "GALBRAITH FINANCIAL", "GAULDEN & ASSOCIATES", "GENEVA WEALTH MANAGEMENT", "GEORGE W. HOOK III FINANCIAL SERVICES", "GL CAPITAL", "GLEASON FINANCIAL GROUP", "GOTTIER INVESTMENTS", "GREEN VALLEY FINANCIAL", "GUGGER ASSET MANAGEMENT", "HACHEY WEALTH MANAGEMENT", "HAMMERSTROM WEALTH MANAGEMENT", "HEAD INVESTMENT PARTNERS", "HERITAGE PRIVATE WEALTH MANAGEMENT", "HERMANN FINANCIAL SERVICES, INC.", "INCOMEMAX, LLC", "INDICON, INC.", "INVESTMENT DESIGNERS, INC.", "IRONSIGHT WEALTH MANAGEMENT LLC.", "JOBIN FINANCIAL", "JOBIN FINANCIAL, INC.", "JUSTABOUT WEALTH", "KAMPSTRA WEALTH MANAGEMENT", "KARL J. KORADE, CPA CDFA", "KARS WEALTH MANAGEMENT", "KERINS HENDRICKSON WEALTH MANAGEMENT", "KOLEY FINANCIAL / LEGAL", "KONTY FINANCIAL SERVICES", "KRONOS WEALTH MANAGEMENT", "LAKEVIEW ASSET MANAGEMENT", "LAKEVIEW ASSET MANAGEMENT, LLC", "LARSON FINANCIAL SERVICES", "LEA FINANCIAL GROUP", "LEGACY ADVISORY GROUP", "LEGACY CAPITAL MANAGEMENT", "LEGACY WEALTH MANAGEMENT", "LEVEQUE FINANCIAL SERVICES", "LIFE WELL LIVED", "LIFE WELL LIVED FINANCIAL GROUP", "MC2 WEALTH SOLUTIONS, LLC", "MCM INVESTOR SERVICES", "MFR", "MICHIGAN 401K CONSULTANTS", "MOORE WEALTH MANAGEMENT", "MORGAN CAPITAL SOLUTIONS, LLC", "NIEMI FINANCIAL SERVICES", "NORTH SHORE WEALTH MANAGEMENT ADVISORS", "NORTHRIVER FINANCIAL GROUP, LLC", "NORTHWEST CAPITAL", "NORTHWEST INVESTMENT & RETIREMENT GROUP", "NW INVESTMENT AND RETIREMENT GROUP", "OCEAN CREST", "ONMARK ASSET MANAGEMENT", "OSAIC ADVISORS", "PADDEN FINANCIAL SERVICES", "PAPA WEALTH MANAGEMENT", "PAPA WEALTH MANAGEMENT LLC", "PARSONS INVESTMENTS", "PEAK WEALTH MANAGEMENT", "PEAK WEALTH MANAGEMENT, LLC", "PFS CAPITAL MANAGEMENT, LLC", "PICACHO FINANCIAL CONSULTING", "PIERSON FINANCIAL GROUP", "PILLAR FINANCIAL ADVISORS", "PINNACLE ASCENT WEALTH MANAGEMENT", "PLACE FINANCIAL ADVISORS", "PLATINUM BRIDGE WEALTH STRATEGIES", "PRESTIGE WEALTH MANAGEMENT", "PROCEL FINANCIAL", "PROFESSIONAL PLANNING & WEALTH, LLC", "PROFITABLE FINANCIAL STRATEGIES", "RD FINANCIAL", "RED CEDAR WEALTH ADVISORS", "RETIREMENT PLAN SERVICE ADVISOR", "RIGHT FINANCIAL ADVISOR", "RIGHTVIEW PRIVATE WEALTH", "RIVER ROCK WEALTH ADVISORY", "RIVERTOWN INVESTMENT ADVISORS", "ROBARE & JONES WEALTH MANAGEMENT", "ROBERTS WEALTH MANAGEMENT", "ROGERS FINANCIAL GROUP, LLC", "SCHROEDER WEALTH ADVISORS", "SCOUT ASSET MANAGEMENT", "SECURE FINANCIAL CORP", "SERVET WEALTH MANAGEMENT", "SLADKO ASSET MANAGEMENT", "STEPP FINANCIAL SERVICES", "STEVEN MORSE AND CO", "STONEBRIDGE FINANCIAL GROUP", "STORM FISCHER INVESTMENT GROUP", "STRATEGIC WEALTH", "STRICKLER AND MOORMEIER", "SUMNER FINANCIAL", "SYKTICH FINANCIAL, LLC", "THE BYCOFF GROUP", "THE DOOLITTLE FINANCIAL NETWORK", "THIRD DAY TRADING", "TRIBE FINANCIAL GROUP", "TRIDEA ADVISORS", "TRUE ALTITUDE WEALTH MANAGEMENT", "UPSTATE FINANCIAL NETWORK, LLC", "VIAQUEST FINANCIAL GROUP", "WARNKE FINANCIAL SERVICES", "WHITECLIFF WEALTH MANAGEMENT", "WISE RETIREMENT STRATEGIES 100", "WOMEN & WEALTH SOLUTIONS" ], "city": "Atlanta", "state": "GA", "country": "United States", "cbsa_code": "12060", "metro": { "cbsa_code": "12060", "common_name": "Atlanta", "msa_name": "Atlanta-Sandy Springs-Roswell, GA", "path": "/advisors/ga/atlanta" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2014-07-17", "years_registered": 12, "period": "2026-10-01", "filing_date": "2026-08-28", "carried_forward": false, "raum_total": 15479826382.0, "raum_discretionary": 15152871464.0, "raum_non_discretionary": 326954918.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 2180, "advisory_employees": 344, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 63231928.0, "count": 38 }, "individuals": { "raum": 6120974051.0, "count": 25761 }, "banking_thrift": { "raum": null, "count": null, "fewer_than_5": true }, "state_municipal": { "raum": null, "count": null, "fewer_than_5": true }, "insurance_companies": { "raum": null, "count": null, "fewer_than_5": true }, "pension_profit_sharing": { "raum": 21565977.0, "count": 70 }, "other_investment_advisers": { "raum": null, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 8887491297.0, "count": 3755 }, "corporations_other_businesses": { "raum": 386563129.0, "count": 274 }, "sovereign_wealth_foreign_official": { "raum": null, "count": null, "fewer_than_5": true } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "educational_seminars", "financial_planning", "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": true, "disclosure_yes_count": 6, "states_registered": [ "AK", "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "PR", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "VI", "VT", "WA", "WI", "WV", "WY" ], "websites": [ "https://76wealth.com", "https://abwealth.net", "https://advicepoint.com", "https://aharris.yournextphase.com", "https://argretirementservices.com", "https://ascentfinancialgroup.com", "https://baronsfinancialstrategies.com", "https://bloomfieldhillsadvisory.com", "https://bluewaterswealth.com", "https://bycoffgroup.com", "https://dgmcmillin.com", "https://emfinancial.com", "https://emicoadvisory.com", "https://empowerwealthmgmt.com", "https://esparzagroup.com", "https://fcmfinancial.com", "https://friersoncapital.com", "https://gandpfinancial.com", "https://glcapitaladvisors.com", "https://gvfinancial.biz", "https://headinvestmentpartners.com", "https://hersheywealth.com", "https://indiconinc.com", "https://investmentdesigners.com", "https://jobinfinancial.com", "https://johnkoyle.com", "https://justaboutretirement.com", "https://justaboutwealth.com", "https://kampstra-wm.com", "https://lifsg.com", "https://morgancapitalsolutions.com", "https://mwmadvisors.com", "https://myargam.com", "https://northriverfinancial.net", "https://nsadvisors.com", "https://oceancrestwm.com", "https://papawealthmgt.com", "https://parsonsinvestments.splashthat.com", "https://plan.johnkoyle.com", "https://platinumbridgewealth.com", "https://proplanwealth.com", "https://rhamm.yournextphase.com", "https://rightfinancialadvisor.com", "https://robare-jones.com", "https://robertswealthmgmt.com", "https://scm-wealth.com", "https://seabreezewealthmanagement.com", "https://servetwealth.com", "https://sorensenwealth.com", "https://sw-advisors.com", "https://thewealthplancompany.com", "https://toddlarmer.com", "https://tribefinancialgroup.com", "https://upstatefinancialnetwork.com", "https://whitecliffwealthmanagement.com", "https://wiswellfinancial.com", "https://wmsgrandcounty.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/171070", "disclosure_items": [ { "item": "11.A(1)", "question": "In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?" }, { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.D(1)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" } ], "city_as_filed": "ATLANTA", "url": "https://advisorcensus.com/firm/osaic-advisory-services-llc-atlanta-ga-171070", "display_name": "Osaic Advisory Services, LLC", "summary": "Osaic Advisory Services, LLC is an SEC-registered investment advisory firm in Atlanta, GA, registered since 2014, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 28, 2026.", "citation": "AdvisorCensus. Osaic Advisory Services, LLC (CRD 171070): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services", "Selection of other advisers (including private fund managers)", "Educational seminars/workshops" ], "quick_answers": [ { "q": "How is Osaic Advisory Services, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Osaic Advisory Services, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is Osaic Advisory Services, LLC located?", "a": "Osaic Advisory Services, LLC's principal office is in Atlanta, GA, according to its Form ADV; the September 2026 filing also lists 23 other offices (Schedule D, Section 1.F)." }, { "q": "Is Osaic Advisory Services, LLC registered with the SEC or a state?", "a": "Osaic Advisory Services, LLC is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 171070." }, { "q": "How much does Osaic Advisory Services, LLC manage?", "a": "Osaic Advisory Services, LLC reports $15,479,826,382 in regulatory assets under management in its Form ADV filing dated August 28, 2026 (98% discretionary)." }, { "q": "How have Osaic Advisory Services, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Osaic Advisory Services, LLC: Regulatory assets under management: $3,807,264,552 in the October 2021 data and $15,479,826,382 in the October 2026 data, up 307%. Total employees: 1,828 in October 2021 and 2,180 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Osaic Advisory Services, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (25,761); high net worth individuals (3,755); corporations or other businesses not listed above (274)." }, { "q": "Which custodians does Osaic Advisory Services, LLC use?", "a": "Osaic Advisory Services, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Osaic Advisory Services, LLC report any disciplinary disclosures?", "a": "Reports 6 disclosure items on Form ADV Item 11: yes answers to 11.A(1) (felony conviction or plea in the past ten years), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/171070" }, { "q": "What changed in Osaic Advisory Services, LLC's recent Form ADV filings?", "a": "In the September 2026 filing data: No longer lists the business name Corujo Advisory Group, LLC. No longer lists the business name Arbor Group Advisors. Added the business name Cornerstone Asset Management. Added the business name AB Wealth Management. Item 11 disclosure answers changed: 6 yes answers, previously 7 (now no: 11.E(2))." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 3807264552.0, "total_employees": 1828, "filing_date": "2021-09-16" }, { "period": "2022-10-01", "regulatory_assets_under_management": 5175681774.0, "total_employees": 2037, "filing_date": "2022-06-22" }, { "period": "2023-10-01", "regulatory_assets_under_management": 4629147942.0, "total_employees": 1748, "filing_date": "2023-10-03" }, { "period": "2024-10-01", "regulatory_assets_under_management": 4938711328.0, "total_employees": 2582, "filing_date": "2024-09-05" }, { "period": "2025-10-01", "regulatory_assets_under_management": 12469688882.0, "total_employees": 2594, "filing_date": "2025-06-09" }, { "period": "2026-10-01", "regulatory_assets_under_management": 15479826382.0, "total_employees": 2180, "filing_date": "2026-08-28" } ], "recent_changes": [ { "period": "2026-09-01", "period_label": "September 2026", "notes": [ "No longer lists the business name Corujo Advisory Group, LLC.", "No longer lists the business name Arbor Group Advisors.", "Added the business name Cornerstone Asset Management.", "Added the business name AB Wealth Management.", "Item 11 disclosure answers changed: 6 yes answers, previously 7 (now no: 11.E(2))." ] }, { "period": "2026-08-01", "period_label": "August 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-07-01", "period_label": "July 2026", "notes": [ "Added the business name Corujo Advisory Group, LLC." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "No longer lists the business name Tetralogy Financial Planning Group.", "No longer lists the business name Frierson Capital Management.", "No longer lists the business name CA Financial Services.", "Added the business name Brand & Company 401(K) Advisors and Private Wealth Management.", "Added the business name Lakeview Asset Management, LLC.", "Added the business name Chestnut Financial Group LLC.", "Added the business name Papa Wealth Management LLC.", "Added the business name Rightview Private Wealth.", "Added the business name Kars Wealth Management.", "Added the business name Jobin Financial, Inc..", "Employees performing advisory functions went from 389 to 344.", "Regulatory assets under management went from $12,469,688,882 to $15,479,826,382 (+24%).", "Added an office in Appleton, WI.", "Added an office in Colorado Springs, CO.", "Added an office in Greensboro, NC.", "Added an office in Greenville, SC.", "Added an office in Manasquan, NJ.", "Added an office in Seneca, SC.", "Added an office in Sterling, VA.", "Added an office in Vienna, VA.", "Added an office in West Bloomfield, MI.", "Added an office in West Melbourne, FL.", "Added an office in Windsor, CT.", "No longer lists an office in Allentown, PA.", "No longer lists an office in Atlanta, GA.", "No longer lists an office in Boca Raton, FL.", "No longer lists an office in Flower Mound, TX.", "No longer lists an office in Grand Rapids, MI.", "No longer lists an office in South Barrington, IL.", "No longer lists an office in The Woodlands, TX.", "No longer lists an office in Torrance, CA.", "No longer lists an office in Vancouver, WA.", "No longer lists an office in West Chester, PA.", "No longer lists an office in Westlake Village, CA.", "No longer lists an office in Wilmington, NC." ] }, { "period": "2026-02-01", "period_label": "February 2026", "notes": [ "Added the business name Beacon Financial Group." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "No longer lists the business name Highland Capital Brokerage.", "No longer lists the business name Full Circle Wealth Management.", "No longer lists the business name 2020 Wealth Management Group.", "Added the business name Picacho Financial Consulting.", "Added the business name Galbraith Financial." ] }, { "period": "2025-11-01", "period_label": "November 2025", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated August 28, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": null, "account_minimum_may_be_waived": false, "minimum_annual_fee": "$30", "planning_fees": [], "figures": [ { "label": "Minimum annual fee", "statements": [ "Minimum annual fee: $30" ], "quotes": [ "We will charge a minimum service fee which is the greater of $30 or up to 15 basis points (.15%) annually assessed to the advisor per account." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": null, "minimum_annual_fee": 30.0, "planning": [] }, "quotes": [ "We will charge a minimum service fee which is the greater of $30 or up to 15 basis points (.15%) annually assessed to the advisor per account." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Fidelity Brokerage Services LLC", "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/osaic-advisory-services-llc-atlanta-ga-171070.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 25761, "fewer_than_5": false, "raum": 6120974051.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 3755, "fewer_than_5": false, "raum": 8887491297.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": null, "fewer_than_5": true, "raum": null }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 70, "fewer_than_5": false, "raum": 21565977.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 38, "fewer_than_5": false, "raum": 63231928.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": null, "fewer_than_5": true, "raum": null }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": null, "fewer_than_5": true, "raum": null }, { "type": "insurance_companies", "label": "Insurance companies", "count": null, "fewer_than_5": true, "raum": null }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": null, "fewer_than_5": true, "raum": null }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 274, "fewer_than_5": false, "raum": 386563129.0 } ], "disclosure_line": "Reports 6 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/171070", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }