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OSAIC WEALTH, INC.
CRD 23131File 801-54859
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 29, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$234.86B
Top 10% of cohort (national)
Discretionary AUM
$161.04B
Non-discretionary $73.81B
Clients
575,512
850,797 accounts
Employees
8,979
Top 10% of cohort in AZ
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Sep 10, 1997
- Principal office
- 18700 N. HAYDEN ROAD, SUITE 255, SCOTTSDALE, AZ, 85255
- Phone
- 800-821-5100
- Website
- https://osaic.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $234.86B
- Discretionary AUM
- $161.04B
- Non-discretionary AUM
- $73.81B
- Discretionary accounts
- 575,960
- Non-discretionary accounts
- 274,837
- Total accounts
- 850,797
- AUM per client
- $408K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 4,024 | $5.37B |
| Non-U.S. persons | Fewer than 5 | Not reported |
| Insurance companies | Fewer than 5 | Not reported |
| Charitable organizations | 855 | $1.60B |
| Other investment advisers | Fewer than 5 | Not reported |
| High net worth individuals | 55,457 | $113.36B |
| Pooled investment vehicles | 3 | $224K |
| Banking or thrift institutions | Fewer than 5 | $985K |
| Pension and profit sharing plans | 1,251 | $1.07B |
| State or municipal government entities | 10 | $14.4M |
| Individuals (other than high net worth individuals) | 513,910 | $113.44B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11G
- Q11A1
- Q11B1
- Q11B2
- Q11C2
- Q11C4
- Q11C5
- Q11D1
- Q11D2
- Q11D4
- Q11E2
- Q11E4
- Q11H1B
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 8,717 | 8,979 | increased by262 |
| Apr 1, 2026 | Clients | 574,829 | 575,512 | increased by683 |
| Apr 1, 2026 | AUM | $200,266,275,275 | $234,858,518,740 | increased by$34,592,243,465 |
| Apr 1, 2026 | Accounts | 797,559 | 850,797 | increased by53,238 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 3,849 | 8,717 | increased by4,868 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 79,676 | 574,829 | increased by495,153 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $28,249,401,040 | $200,266,275,275 | increased by$172,016,874,235 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 112,286 | 797,559 | increased by685,273 |
| Apr 1, 2022 | Employees | 3,642 | 3,849 | increased by207 |
| Apr 1, 2022 | Clients | 65,166 | 79,676 | increased by14,510 |
| Apr 1, 2022 | AUM | $20,655,365,726 | $28,249,401,040 | increased by$7,594,035,314 |
| Apr 1, 2022 | Accounts | 89,747 | 112,286 | increased by22,539 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “OSAIC WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“OSAIC WEALTH” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.