Michael Kaplowitz
Michael Kaplowitz is a registered investment advisor at Osaic Wealth, INC., based in Katonah, NY, with 41 years of industry experience. Michael 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
Katonah, NY
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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
Michael is an Investment Advisor Representative with Securities America Advisors and also sells various insurance products including long-term care, fixed annuities, life, disability, and health insurance. He also serves as a part-time Deputy Commissioner for Westchester County and is involved in local political and charitable organizations, as well as providing very part-time legal services.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Securities America, INC.Broker
Securities America Advisors, INC.
Ssn Advisory, INC.
Securities Service Network, LLCBroker
AXA Advisors, LLC
AXA Advisors, LLCBroker
Hornor, Townsend & Kent, INC.Broker
Cadaret, Grant & CO., INC.Broker
Aig Equity Sales CORP.Broker
Nathan & Lewis Securities, INC.Broker
Berkshire Equity Sales, INC.Broker
State Registrations15 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.