Firm profile

Osaic Wealth, Inc..

SCOTTSDALE, AZCRD 23131Registration Status: ApprovedEffective since September 10, 1997Latest ADV September 29, 2026

Osaic Wealth, Inc. is an SEC registered investment adviser organized as a corporation with a primary office location in Scottsdale, AZ. Its latest Form ADV filing, dated September 29, 2026, reports $234.9B in regulatory assets under management, 8,979 employees, 5,587 offices, and 850,797 accounts.

Assets Under Management
$234.9B
Employees
8,979
Offices
5,587 offices
Total Clients
575,512

Associated firm names

147 names listed
  • 1752 FINANCIAL SOLUTIONS
  • ARMSTRONG & ASSOCIATES
  • ARLEN FINANCIAL
  • ARKTOS WEALTH MANAGEMENT

Leadership

2 roles identified
CEOShannon Reid
CCOShawn Michael Mihal

Advisory services offered

6 types reported
Educational seminars/workshops
Financial Planning Services
Pension consulting services

Fee models offered

3 types reported
Asset based fees
Fixed fees
Hourly charges

Offices & Contact

Primary office

SCOTTSDALE, AZ, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Arizona

SCOTTSDALEPrimary office

California

SACRAMENTO · LA JOLLA · SAN RAMON · IRVINE

Florida

FORT LAUDERDALE

Hawaii

HONOLULU

Illinois

CHICAGO · OAKBROOK TERRACE

Maryland

HUNT VALLEY

Massachusetts

NEEDHAM HEIGHTS

Minnesota

ROCHESTER · ST LOUIS PARK

New Jersey

PARAMUS · LIVINGSTON

New York

MELVILLE · AMHERST

North Carolina

RALEIGH

Ohio

MAUMEE · ORANGE VILLAGE

Rhode Island

WARWICK

Virginia

VIENNA

Washington

BELLEVUE

Wisconsin

MILWAUKEE · BROOKFIELD

26 office records listed · 5,587 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$234.9Bas of September 29, 2026
Discretionary68.6%
$161.0B
69% of total RAUM68.6%
Non-discretionary31.4%
$73.8B
31% of total RAUM31.4%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentIndividuals represent 89.3% of total clients.
Top client categories% of clientsClients
1
Individuals
89.3%
513,910
2
HNWI
9.6%
55,457
3
Corporations
0.7%
4,024
4
Pension Plans
0.2%
1,251
5
Charitable
0.1%
855
Additional categories (<0.1%)
Government10 clients
Pooled Investment Vehicles<5 clients
Banks<5 clients
Categories with <5 clients
Banking or thrift institutions<5 clients
Insurance companies<5 clients
Other categories<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$234.9B
Total Accounts850,797
10Y AUM Change+$229.4B (+4233.3%)

Private Funds

Private funds reported by Osaic Wealth, Inc..

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees8,979
Clients per Employee64:1
10Y Employee Change+7,416 (+474.5%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Ownership information is not yet available for this profile.

Compliance & Disclosures

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

Item 11 responses have not been pulled yet for this RIA.

RIA or supervised-person involvementThe RIA’s response about whether these events involve the firm or its supervised persons is unavailable.RIA responseUnavailable
AFelonies2 Unavailable

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?Unavailable
  • A2Been charged with a felony?Unavailable
BMisdemeanors2 Unavailable

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?Unavailable
  • B2Been charged with a misdemeanor of the kind listed above?Unavailable
CSEC or CFTC actions5 Unavailable

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?Unavailable
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?Unavailable
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?Unavailable
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?Unavailable
DOther regulatory actions5 Unavailable

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?Unavailable
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?Unavailable
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?Unavailable
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?Unavailable
ESelf-regulatory organization actions4 Unavailable

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?Unavailable
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?Unavailable
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?Unavailable
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?Unavailable
FProfessional authorizations1 Unavailable
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?Unavailable
GPending regulatory proceedings1 Unavailable
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?Unavailable
HCivil judicial actions and proceedings4 Unavailable

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?Unavailable
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?Unavailable
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?Unavailable

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?Unavailable

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.