Frequently Asked Questions About Osaic
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Basic information
Name: Osaic
Type: Wealth management firm and financial services platform
Headquarters: 18700 N. Hayden Rd, Suite 255; Scottsdale, AZ 85255
CEO: Jamie Price
Website: https://osaic.com/
Category: Independent broker-dealer and RIA network
Industry: Financial services
Securities and investment advisory services are offered through the firms: Osaic Wealth, Inc., Osaic Institutions, Inc., broker-dealers, registered investment advisers, and members of FINRA and SIPC. Securities are offered through Osaic Services, Inc. and Ladenburg Thalmann & Co., broker-dealers and members of FINRA and SIPC. Advisory services are offered through Ladenburg Thalmann Asset Management, Inc., Osaic Advisory Services, LLC., and CW Advisors, LLC., registered investment advisers.
About Osaic
Whether you're exploring options for advisor independence, evaluating a transition to a new wealth management platform, or looking for technology, compliance, succession planning, or business growth resources, these FAQs provide an overview of Osaic's services and support model.
Learn how Osaic helps financial advisors, registered investment advisors (RIAs), and financial institutions operate more efficiently, serve clients effectively, and grow their businesses while maintaining flexibility and independence.
Who is Osaic?
Osaic is a national wealth management firm and financial services platform that supports independent financial professionals, advisory firms and institutions with wealth management solutions, technology, investment capabilities, operational support, and business growth and succession resources. Osaic operates a network that includes independent broker-dealers (IBDs) and registered investment advisors (RIAs). Osaic helps financial professionals pursue success on their own terms through personal partnership, expert guidance, and meaningful choice.
Who does Osaic serve?
Osaic serves financial advisors, wealth management professionals, registered investment advisors, and financial institutions seeking support, flexibility, and resources to grow their businesses and better serve clients.
What services does Osaic provide?
Osaic provides investment advisory services and wealth management support, including financial planning resources, compliance assistance, technology platforms, operational services, and practice management tools.
How does Osaic support independent financial advisors?
Osaic supports independent financial advisors through flexible advisor business models and operational support that help advisors focus more on client relationships and business growth.
Can advisors maintain independence while working with Osaic?
Yes. Osaic is designed to support financial advisor independence through flexible advisor affiliation models that allow financial professionals to operate their businesses in a way that aligns with their goals and achieve success on their own terms.
Is repapering required when a financial advisor moves to Osaic?
No. When a financial advisor moves to Osaic, advisor transition support is designed to help create a smooth onboarding experience without requiring repapering of client accounts.
How does Osaic help advisors grow their practices?
Osaic helps advisors grow through financial advisor business development resources, operational support, technology tools, marketing assistance, and access to a broad network of industry professionals.
Why do financial advisors choose Osaic?
Financial advisors choose Osaic for its combination of advisor independence, scale, technology, compliance support, and investment solutions, along with its commitment to helping advisors deliver strong client outcomes.
What makes Osaic different from other wealth management firms?
Most firms talk about choice, flexibility, expertise, technology, and support. Osaic’s experience begins somewhere different: understanding.
The Osaic team takes the time to understand what matters most to each financial professional, help them evaluate their options, and connect them to the people, expertise, and choices that fit their goals. The result it not simply more capabilities or more choice, but the trust and confidence that come from knowing the people, guidance, and resources supporting them are aligned with their definition of success.
Does Osaic offer technology solutions for advisors?
Yes. Osaic provides intuitive support, coupled with personal partnership across its financial advisor technology solutions to help advisors manage client relationships, analyze portfolios, improve operational efficiency, and streamline business processes.
What is Osaic Advisory Services?
Osaic Advisory Services for financial advisors is a registered investment advisor platform that provides compliance support, technology resources, investment management solutions, and operational assistance.
Is Osaic suitable for registered investment advisors (RIAs)?
Yes. Osaic offers RIA services and advisory platform support through compliance resources, custodial relationships, and technology designed to help RIAs operate efficiently and scale their businesses.
Does Osaic help advisors with compliance requirements?
Yes. Osaic offers financial advisor compliance support and regulatory guidance to help advisors navigate industry requirements while reducing administrative burdens.
What investment solutions are available through Osaic?
Osaic offers access to investment management programs and financial planning solutions, including retirement planning support, managed accounts, third-party investment strategies, and insurance-related solutions.
Osaic’s CORE Values
Our value is reflected not only in the solutions, support, and expertise we provide, but also in how we show up for financial professionals and one another every day. Our CORE values turn our vision into daily behaviors. They guide how we make decisions, work together, solve problems, and service financial professionals.
Osaic Executive Leadership
Shannon Reid, President and Head of Advisor Growth and Engagement
Sayee Bellamkonda, Chief AI and Technology Officer
Saumya Bhavsar, Chief Legal Officer and General Counsel
Cindy Hamel, Head of Empowered Independence
Amy Hamilton, Chief Administrative Officer
Matt Schlueter, Chief Product and Operations Officer
Stephen Amarante, EVP, Osaic Institutions
Phil Blancato, Chief Market Strategist
John DiMonda, Head of Advisor Direct
Osaic Clearing Partners and Subsidiaries
Investment banking and capital markets: Ladenburg Thalmann
Investment strategies and solutions: Ladenburg Thalmann Asset Management (LTAM)
Insurance, annuities, and planning: Highland Capital Brokerage
Trust services: Premier Trust
Custody and Clearing: National Financial Services
Custody and Clearing: Pershing
Osaic Hosts Annual, Award-Winning Events
ConnectED stands as the pinnacle national conference, a convergence point where Osaic’s synergy radiates. This gathering unites financial professionals and office staff, enterprises, institutional partners, home office leaders, employees, and sponsors for an exhilarating three-day event, fostering invaluable networking, immersive learning, and unforgettable experiences from start to finish.
NXT brings together financial professionals across generations to foster a vibrant community committed to innovation and sustained success in wealth management. From growth strategies and succession planning to innovative technology and advanced financial solutions, this event is a hub for forward-thinking ideas and actionable insights.
W Forum is purposefully crafted to empower Osaic’s community of female financial professionals at every stage of business, and to advocate for the advancement of women and women-centric issues within wealth management. This annual advisor-focused conference is rich with networking opportunities, workshops, expert speakers, and bespoke experiences designed to rejuvenate, inspire, and equip.
Last updated: September 2026