TrueAdvisor
TrueAdvisor
DE
DE

David Eno

Osaic Wealth, INC.
42 Years of Experience
West Seneca, NY
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

David Eno is a registered investment advisor at Osaic Wealth, INC., based in West Seneca, NY, with 42 years of industry experience. David 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.

Osaic Wealth, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9246 advisors
Number of Clients
574,829 clients
Average Client Portfolio
$348K average
Assets Under Management
$200.3B

Fee Structure

Minimum Investment:$5.5K

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.

View Full SEC Brochure

Location

950-A Union Road, Suite 120, West Seneca, NY, 14224

Get directions

History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
June 1992
Criminal
November 1972
Final Disposition
Criminal
October 1969
Final Disposition
Criminal
March 1968
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

David is an IAR with Royal Alliance Associates and manages client portfolios, dedicating about a quarter of his time. He also offers life insurance and fixed annuities, and provides fixed rate alternatives to clients, spending minimal time on these activities.

Employment History
Current Registrations
Osaic Wealth, INC.
April 2021 - Present · 5 yrs 1 mo
Osaic Wealth, INC.Broker
March 2007 - Present · 19 yrs 2 mos
Previous Registrations
United Securities Alliance, INC.Broker
March 2003 - March 2007 · 4 yrs
Leigh Baldwin & CO., LLCBroker
February 1998 - March 2003 · 5 yrs 1 mo
Lasalle St Securities, L.L.C.Broker
October 1997 - December 1997 · 2 mos
Saperston Financial INC.Broker
July 1992 - October 1997 · 5 yrs 3 mos
Advest, INC.Broker
June 1989 - July 1992 · 3 yrs 1 mo
Shearson Lehman Hutton INC.Broker
February 1988 - June 1989 · 1 yr 4 mos
E. F. Hutton & Company INCBroker
November 1983 - February 1988 · 4 yrs 3 mos
State Registrations5 states
FLNCNJNVNY
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
More financial advisors in West Seneca, NY →All financial advisors in New York →