David Hartman
David Hartman is a registered investment advisor at Osaic Wealth, INC., based in Rocklin, CA, with 29 years of industry experience. David 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
4145 Rocklin Road, Rocklin, CA, 95677
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Regulatory History (1)
Customer Dispute
April 2017Other Business ActivitiesSells Insurance
David is an investment advisor representative with Securities America Advisors since 2000. He is also an insurance agent with Shield Financial Solutions since 1996, selling life, health, and disability insurance products, dedicating about 10-20% of his time to this activity.
Employment History
Current Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Northwestern Mutual Investment Services, LLCBroker
Robert W. Baird & CO. IncorporatedBroker
State Registrations18 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.