Steven Dum
Steven Dum is a CFP, ChFC-designated registered investment advisor at Osaic Wealth, INC., based in Indianapolis, IN, with 39 years of industry experience. Steven 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
1050 E. 86th Street, Suite 55-C, Indianapolis, IN, 46240
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Regulatory History (1)
Customer Dispute
October 2010Other Business ActivitiesSells Insurance
Steven is a board member for Theta Chi Realty Corporation, a not-for-profit that provides room and board to fraternity members. He also works as a counselor at Fairbanks Hospital about 8 hours per week, manages rental properties, and works full-time as a registered representative at Providence Financial Group, LLC, selling securities, investment advisory, and insurance products.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Signator Investors, INC.
Signator Investors, INC.Broker
Somerset Cpas, P.C.
Transamerica Financial Advisors, INC.
Transamerica Financial Advisors, INCBroker
Walnut Street Securities, INC.Broker
Manequity, INC.Broker
Phoenix Equity Planning CorporationBroker
Nel Equity Services CorporationBroker
State Registrations3 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.