Thomas Lopez
Thomas Lopez is a registered investment advisor at Osaic Wealth, INC., based in Suffern, NY, with 29 years of industry experience. Thomas 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
Suffern, NY
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Regulatory History (1)
Judgment / Lien
March 2025Other Business ActivitiesSells Insurance
Thomas is an independent insurance agent for various independent insurance companies since 2014. He dedicates minimal time to this activity.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
American Portfolios Financial Services, INC.Broker
American Portfolios Advisors, INC
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Invest Financial CorporationBroker
Advantage Capital CorporationBroker
State Registrations6 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.