Swan Shen
Swan Shen is a CFP, ChFC-designated registered investment advisor at Osaic Wealth, INC., based in Burlington, MA, with 27 years of industry experience. Swan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 5 more. Their firm serves 575,512 clients with $230B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers several investment management programs where fees are charged as an annual percentage of your portfolio, typically billed monthly or quarterly. Because individual financial professionals negotiate their own fee schedules and programs vary by platform, exact rates depend on the specific account type and manager selected.
- Advisor Managed Portfolios and Unified Managed Account Programs — Fees vary based on negotiations with your financial professional and the specific asset allocation models or third-party managers chosen.
- Plan Participant Retirement Program — Annual management fees charge up to 3.00% of your account assets, structured as a fixed percentage or a tiered fee schedule.
- Program Annuities — Annual advisory fees for managing outside annuities will not exceed 1.50% of program assets for new accounts.
Account minimums vary widely by program, ranging from $5,500 to $10,000 for certain automated or platform accounts, while other programs depend on the specific investment product or third-party manager.
Location
1500 District Ave, Burlington, MA, 01803
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Regulatory History (7)
Customer Dispute
February 2022Regulatory
October 2016Customer Dispute
August 2016Regulatory
February 2015Regulatory
August 2014Employment Separation After Allegations
August 2013Customer Dispute
May 2004Other Business ActivitiesSells Insurance
Swan is the founder and president of Holistic Financial & Retirement Group, LLC, an investment-related business. Swan offers fixed insurance products based on client needs through various insurance companies, dedicating about a quarter of their time to this activity.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Sagepoint Financial, INC.
Sagepoint Financial, INC.Broker
Capital Financial Services, INC.
Capital Financial Services, INC.Broker
Cantella & CO., INC.Broker
Capital Financial Services, INC.Broker
CUNA Brokerage Services, INC.
CUNA Brokerage Services, INC.Broker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Mony Securities CorporationBroker
State Registrations17 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.
Exams
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