Mark Oswald is a registered investment advisor at Balefire, LLC, based in Cape Coral, FL, with 34 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 1,864 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Balefire charges an ongoing fee based on the total value of your portfolio, including cash and investments. The fee is calculated quarterly and deducted directly from your account in advance.
- Asset management fee — Varies based on the scope and complexity of your situation, and is negotiated directly with you.
- Platform fee — An additional 0.25% per year is assessed to cover technology, portfolio accounting, and reporting services (often waived for ultra-high-net-worth clients).
- Other investment costs — You will also pay separate fees to third-party investment managers or mutual fund companies if your portfolio includes their products, typically ranging from 0.08% to 0.60% per year, plus trading ticket charges from your custodian.
Location
Cape Coral, FL
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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 Activities
Mark is the sole member of Compliance Consultants LLC, providing expert witness testimony and consulting services. He is also a board member of Ozzie's Pitch-22 Foundation, a charitable organization, and helps administer the foundation.
Employment History
Current Registrations
Balefire, LLC
Previous Registrations
Bridge Capital Associates, INC.Broker
Aegis Financial
H. Beck, INC.Broker
Annex Wealth Management, LLC
Investment Centers of America, INC.Broker
Sii Investments, INC.Broker
Princor Financial Services CorporationBroker
Robert W. Baird & CO. IncorporatedBroker
John Hancock Distributors, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations2 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.
Exams
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