Lily Lu
Lily Lu is a CFP-designated registered investment advisor at Osaic Wealth, INC., based in Diamond Bar, CA, with 27 years of industry experience. Lily 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
1300 Valley Vista Dr, Ste 207, Diamond Bar, CA, 91765
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Regulatory History (1)
Customer Dispute
September 2009Other Business ActivitiesSells Insurance
Lily is a fee-based manager, reviewing the performance of money managers. Lily also sells fixed insurance products to clients, dedicating about 10-20% of her time to each activity.
Employment History
Current Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Banc of America Investment Services, INC.Broker
Banc of America Investment Services, INC.
Uvest Financial Services Group, INC.Broker
Uvest Financial Services And/or Compass Capital
Primevest Financial Services, INC.Broker
Ifmg Securities, INC.Broker
Pruco Securities CorporationBroker
State Registrations5 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.