Richard Brock is a registered investment advisor at Osaic Wealth, INC., based in Charlotte, NC, with 42 years of industry experience. Richard 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
4250 Congress St., Ste. 200, Charlotte, NC, 28209
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 Activities
Richard is the National Practice Leader - Executive Benefits for both Gallagher Fiduciary Advisors and Gallagher Benefit Services. He works nearly full-time as an executive benefit consultant for not-for-profit organizations at Gallagher Benefit Services and spends about 10-20% of his time in a similar role at Gallagher Fiduciary Advisors.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Gallagher Fiduciary Advisors, LLC
Previous Registrations
Triad Advisors LLCBroker
Kestra Advisory Services, LLC
Kestra Investment Services, LLCBroker
NFP Advisor Services, LLC
Tice Mcninch Capital Management, INC.
Triad Advisors, INC.Broker
Triad Advisors, INC.
Cb&h Investor Services, LLCBroker
Cap Pro Brokerage Services, INC.Broker
Cb & H Business Services, LLC
Ogilvie Security Advisors CorporationBroker
New England SecuritiesBroker
Walnut Street Securities, INC.Broker
New England SecuritiesBroker
Aetna Life Insurance and Annuity CompanyBroker
Dean Witter Reynolds INC.Broker
Pruco Securities CorporationBroker
State Registrations53 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.