Peter Kaplan
Peter Kaplan is a registered investment advisor at Osaic Wealth, INC., based in Twinsburg, OH, with 29 years of industry experience. Peter 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
8054 Darrow Road, Unit D-1, Twinsburg, OH, 44087
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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
Peter is the President of PK Financial Group Inc., focusing on wealth management, retirement plan management, and health, life, and P&C insurance, dedicating about a quarter of his time. He is also the owner of MGG Capital Management LLC, primarily for internal financial operations, spending about 10-20% of his time on it.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
American General Securities Incorporated
American General Securities IncorporatedBroker
H.D. Vest Investment ServicesBroker
Prudential Securities IncorporatedBroker
Dean Witter Reynolds INC.Broker
State Registrations20 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.