Stephen Roehrig
Stephen Roehrig is a registered investment advisor at Osaic Wealth, INC., based in Rochester, NY, with 25 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
350 Linden Oaks, Suite 140, Rochester, NY, 14625
Get directionsHistory
Regulatory History (5)
Customer Dispute
May 2024Customer Dispute
March 2014Regulatory
May 2005Regulatory
October 2002Customer Dispute
January 2001Other Business ActivitiesSells Insurance
Stephen is an Investment Adviser Representative for Novem Group and a Registered Representative for Osaic Wealth, Inc., dedicating about half his time to these roles. He is also an insurance agent, spending a few hours per week on this activity, and a passive investor in Gem Creek Brewery, LLC and Gem Creek LLC.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Novem Group
Previous Registrations
American Portfolios Advisors, INC
American Portfolios Financial Services, INC.Broker
Capitol Securities Management, INC.Broker
The Concord Equity Group, LLCBroker
Vfinance Investments, INCBroker
Pittsford Capital Markets, INCBroker
Manning & Napier Investor Services, INC.Broker
State Registrations22 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.