Richard Smith
Richard Smith is a registered investment advisor at Osaic Wealth, INC., based in Westlake Village, CA, with 36 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
31111 Agoura Road, Suite 200, Westlake Village, CA, 91361-4443
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Regulatory History (1)
Customer Dispute
March 2010Other Business ActivitiesSells Insurance
Richard is an insurance agent offering disability insurance, fixed/indexed annuities, traditional life insurance, and long-term care insurance since 1992, dedicating a few hours per week. He also analyzes life insurance policies for life settlements and offers premium financing, spending minimal time on each.
Employment History
Current Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
The Lincoln National Life Insurance CompanyBroker
Osaic Fa, INC.Broker
Osaic Fa, INC.
Cigna Financial Advisors,inc.Broker
Capital Analysts, IncorporatedBroker
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.