Cathy Elia
Cathy Elia is a registered investment advisor at Osaic Wealth, INC., based in Rochester, NY, with 28 years of industry experience. Cathy 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
109 S Union Street, Ste 335, Rochester, NY, 14607
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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
Cathy has several outside business activities, including NY Long Term Care Brokers (though she no longer utilizes it), Ahrens Benefits Co (Medicare insurance sales taking a few hours per week), SAA (investment advisory, full-time), and Envision Wealth & Health (financial and insurance services, full-time). Cathy's activities include both investment-related and insurance-related roles.
Employment History
Current Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Invest Financial CorporationBroker
Ensemble Financial Services, INC.Broker
Nylife Securities INC.Broker
Dean Witter Reynolds INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
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.