Wealth manager, independent · Atlanta, GA
Osaic Advisory Services, LLC
SEC-registered investment adviser · CRD 171070 · SEC 801-80075
At a glance
Osaic Advisory Services, LLC is an SEC-registered investment adviser based in Atlanta, Georgia, with $15B in regulatory assets under management as of its Form ADV filed August 28, 2026. It reports 29,516 individual clients, 3,755 of them high-net-worth, holding an average of about $0.5 million each, and 2,180 employees. That ranks it 61st among the nation’s 5,657 independent wealth management RIAs and 2nd of 171 in Georgia. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity.
Main office 866-580-8219As filed on Form ADV
- Regulatory AUM
- $15B
- Rank among independent wealth managers
- #61 of 5,657
- Rank among all SEC RIAs
- #1,027 of 17,210
- Rank in Georgia
- #2 of 171
- Individual clients
- 29,516
- High-net-worth clients
- 3,755
- Accounts
- 50,459
- Discretionary
- 98% of AUM
- Employees
- 2,180
- Advisory staff
- 344
- Offices
- 201
Owners and executives on its Form ADV
- James Dale PriceChairman
- Matthew Adam SchlueterExecutive Vice President, Operations and Technology Solutions
- Shawn Michael MihalSVP, Chief Compliance Officer
- Cynthia A. HamelPresident, Interim Chief Operating Officer
- Christopher Mills MitchellCorporate Treasurer, Financial Principal
Custody and brokerage
Broker-dealer
Hybrid RIA
Osaic Advisory Services, LLC is a hybrid RIA: 826 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Ladenburg Thalmann & Co. Inc., Osaic Institutions, Inc., Osaic Services, Inc. and Osaic Wealth, Inc..
- Ladenburg Thalmann & Co. Inc. ↗CRD 505
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
- Osaic Institutions, Inc. ↗CRD 35371
- Osaic Services, Inc. ↗CRD 133763
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
- Osaic Wealth, Inc. ↗CRD 23131
Its Form ADV brochure (filed August 2026) names Osaic Wealth and Ladenburg Thalmann & Co. as the broker-dealer its advisers are registered with.
ultation, you purchase securities or insurance products offered through us, your Advisory Representatives typically receive commissions as Registered Representatives of Osaic Wealth or insurance agents in connection with such transactions.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 3,755 | $8.9B | 57% |
| Individuals | 25,761 | $6.1B | 40% |
| Corporations or other businesses | 274 | $387M | 2% |
| Charitable organizations | 38 | $63M | <1% |
| Pension and profit sharing plans | 70 | $22M | <1% |
Disciplinary disclosures
Osaic Advisory Services, LLC answers yes to 8 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Osaic Advisory Services, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 269 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Georgia
All of Georgia →| Firm | Regulatory AUM | Clients |
|---|---|---|
| HB WealthAtlanta | $30B | 4,808 |
| Openarc Corporate Advisory, LLCAtlanta | $10B | 3,841 |
| Signaturefd, LLCAtlanta | $9.7B | 1,891 |
| Crawford Investment Counsel IncAtlanta | $9.1B | 1,943 |
| Arkadios Wealth AdvisorsAtlanta | $8.8B | 14,320 |
| Nicholas Hoffman & Company, LLCAtlanta | $8.3B | 399 |
Compare Osaic Advisory Services, LLC with
- Osaic Advisory Services, LLC vs HB Wealth $30B · Atlanta, GA
- Osaic Advisory Services, LLC vs Mycio Wealth Partners, LLC $16B · Philadelphia, PA
- Osaic Advisory Services, LLC vs Evercore Wealth Management, LLC $16B · New York, NY
- Osaic Advisory Services, LLC vs Ballentine Partners $15B · Waltham, MA
- Osaic Advisory Services, LLC vs CW Advisors, LLC $15B · Boston, MA
Background
Questions
How much does Osaic Advisory Services, LLC manage?
Osaic Advisory Services, LLC reports $15B in regulatory assets under management across 50,459 accounts, 98% of it on a discretionary basis, on its Form ADV filed August 28, 2026.
How many clients does Osaic Advisory Services, LLC have?
It reports 29,516 individual clients: 3,755 high-net-worth individuals and 25,761 other individuals. Individuals account for about 97% of its regulatory assets.
Where is Osaic Advisory Services, LLC headquartered?
Its main office is in Atlanta, Georgia. It reports 201 offices in total and 2,180 employees, 344 of whom perform investment advisory functions.
How does Osaic Advisory Services, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Osaic Advisory Services, LLC use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity. On Schedule D of its Form ADV filed August 28, 2026, it reports these amounts held: Charles Schwab ($10B); Fidelity ($4.5B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Osaic Advisory Services, LLC a hybrid RIA with a broker-dealer?
Osaic Advisory Services, LLC is a hybrid RIA: 826 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Ladenburg Thalmann & Co. Inc., Osaic Institutions, Inc., Osaic Services, Inc. and Osaic Wealth, Inc.. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Osaic Advisory Services, LLC a fiduciary?
As an SEC-registered investment adviser, Osaic Advisory Services, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 826 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Osaic Advisory Services, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-28), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →