Bruce Swayze
Bruce Swayze is a registered investment advisor at Osaic Wealth, INC., based in Molalla, OR, with 42 years of industry experience. Bruce is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 5 more. Their firm serves 575,512 clients with $230B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers several investment management programs where fees are charged as an annual percentage of your portfolio, typically billed monthly or quarterly. Because individual financial professionals negotiate their own fee schedules and programs vary by platform, exact rates depend on the specific account type and manager selected.
- Advisor Managed Portfolios and Unified Managed Account Programs — Fees vary based on negotiations with your financial professional and the specific asset allocation models or third-party managers chosen.
- Plan Participant Retirement Program — Annual management fees charge up to 3.00% of your account assets, structured as a fixed percentage or a tiered fee schedule.
- Program Annuities — Annual advisory fees for managing outside annuities will not exceed 1.50% of program assets for new accounts.
Account minimums vary widely by program, ranging from $5,500 to $10,000 for certain automated or platform accounts, while other programs depend on the specific investment product or third-party manager.
Location
Molalla, OR
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Regulatory History (1)
Customer Dispute
February 2011Other Business ActivitiesSells Insurance
Bruce is the court-appointed financial guardian for his granddaughter, managing a restricted account for her, dedicating a few hours per week. Bruce also has an insurance license and occasionally writes a life insurance policy for a client, which takes minimal time.
Employment History
Current Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Kms Financial Services, INC
Kms Financial Services, INC.Broker
Pacific Harbor Securities, INC.Broker
Kms Financial Services, INC.Broker
First Affiliated Securities, INC.Broker
Pfg Securities, INC.Broker
Cardell & Associates, IncorporatedBroker
Wzw Financial Services, INC.Broker
State Registrations9 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.