Stephen Swarbrick
Stephen Swarbrick is a registered investment advisor at Osaic Wealth, INC., based in El Dorado Hills, CA, with 31 years of industry experience. Stephen 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
3860 El Dorado Hills Blvd, Suite 503, El Dorado Hills, CA, 95762
Get directionsHistory
Regulatory History (4)
Customer Dispute
June 2021Customer Dispute
January 2017Customer Dispute
September 2016Customer Dispute
March 2015Other Business ActivitiesSells Insurance
Stephen is a board member of Bright Water Foundation, dedicating minimal time. He also works as a financial advisor for Hoppe Cottrell Advisors, LLC, dedicating about a quarter of his time, and has been an insurance agent since 1993, spending about 10-20% of his time on insurance sales and services.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Woodbury Financial Services, INC.Broker
Woodbury Financial Services, INC.
Questar Asset Management, INC.
Questar Capital CorporationBroker
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
Wm Financial Services, INC.Broker
Great Western Financial Securities CorporationBroker
State Registrations25 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.