SEC-registered wealth management firm Broker-dealer affiliated
Osaic Wealth, Inc.
As of its Form ADV filed September 29, 2026, Osaic Wealth, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Scottsdale, Arizona, reported $234.9 billion in regulatory assets under management across 850,797 accounts, ranking #1 among all wealth firms in Arizona by assets.
Registration
- Main office
- Scottsdale, AZ
- Registration
- SEC-registered, Approved
- CRD number
- 23131
- SEC file number
- 801-54859
- Registered since
- September 10, 1997
- Latest Form ADV filing
- September 29, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 5,586
Key figures
- Regulatory assets under management
- $234.9 billion
- Discretionary
- $161.0 billion (68.6%)
- Non-discretionary
- $73.8 billion
- Accounts
- 850,797 (575,960 discretionary)
- Clients
- 632,172, approximate as reported
- Employees
- 8,979
- Advisory staff
- 7,143 performing investment advisory functions
- Average account
- $276,045
- Asset growth, 1 year
- 17.3% (from $200.3 billion a year earlier)
- Asset growth, 3-year annual rate
- 99.6% (from $29.5 billion three years earlier)
- Asset growth, 5-year annual rate
- 62.6% (from $20.7 billion five years earlier)
- Client growth, 1 year
- 0.7% (from 627,722)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $1.3 billion |
| October 3, 2011 | $1.9 billion |
| October 1, 2012 | $2.1 billion |
| October 1, 2013 | $2.7 billion |
| October 1, 2014 | $3.4 billion |
| October 1, 2015 | $3.9 billion |
| October 3, 2016 | $4.6 billion |
| October 2, 2017 | $5.4 billion |
| October 1, 2018 | $7.6 billion |
| October 1, 2019 | $12.6 billion |
| October 1, 2020 | $16.7 billion |
| October 4, 2021 | $20.7 billion |
| October 3, 2022 | $28.2 billion |
| October 5, 2023 | $29.5 billion |
| October 1, 2024 | $94.6 billion |
| September 2, 2025 | $200.3 billion |
| October 2, 2026 | $234.9 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 513,910 clients | $113.4 billion | |
| High net worth individuals 55,457 clients | $113.4 billion | |
| Corporations or other businesses 4,024 clients | $5.4 billion | |
| Charitable organizations 855 clients | $1.6 billion | |
| Pension and profit sharing plans 1,251 clients | $1.1 billion | |
| State or municipal government entities 10 clients | $14.4 million | |
| Banking or thrift institutions fewer than 5 clients | $985,309 | |
| Pooled investment vehicles 3 clients | $224,391 | |
| Other investment advisers fewer than 5 clients | $0 | |
| Insurance companies fewer than 5 clients | $0 | |
| Sovereign wealth funds and foreign official institutions fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
- Selection of other advisers
- Educational seminars or workshops
Financial planning clients (Item 5.H): 18000.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Trust company
- Insurance company or agency
- Pension consultant
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported custody of client cash or securities, $195.9 billion in total.
Investment adviser representatives
- IARs registered with the firm
- 8,054
- Also registered through a broker-dealer
- 7,995
- Employees who are IARs (Form ADV 5.B(3))
- 6,297
Designations held by the firm's IARs: CFP 1,539, ChFC 524, CFA 39, PFS 22.
Between 1,905 and 7,904 of the firm's 8,054 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 13 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Arizona
| Firm | City | RAUM |
|---|---|---|
| United Planners' Financial Services of America A Limited Partner | Scottsdale | $12.8 billion |
| Foundations Investment Advisors LLC | Phoenix | $10.1 billion |
| Ashton Thomas Private Wealth | Scottsdale | $6.0 billion |
| Dynamic | Phoenix | $5.6 billion |
| Tci Wealth Advisors, Inc. | Tucson | $5.4 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Osaic Wealth, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: osaic.com
- Wealth management firms in Arizona
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.