Dean Moberg
Dean Moberg is a registered investment advisor at Osaic Wealth, INC., based in Westport, CT, with 42 years of industry experience. Dean operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
Westport, CT
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Dean operates under the DBA Sound Trust Wealth Advisors, LLC and offers investment advisory services through the same entity. He also sells life and long-term care insurance as an independent agent of HSH Brokerage.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Sound Trust Wealth Advisors, LLC
Previous Registrations
American Portfolios Financial Services, INC.Broker
Fsc Securities Corporation
Fsc Securities CorporationBroker
Fsc Securities Corporation
Sound Financial Advisors
Greenwich Global, LLCBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Advest, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations10 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.