Phillip Cartwright
Phillip Cartwright is a registered investment advisor at Osaic Wealth, INC., based in Appleton, WI, with 25 years of industry experience. Phillip 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
5107 North Ballard Rd., Suite 200, Appleton, WI, 54913
Get directionsHistory
Regulatory History (3)
Customer Dispute
December 2022Customer Dispute
May 2020Regulatory
August 2011Other Business ActivitiesSells Insurance
Phillip is an Investment Advisor Representative at Legacy Investments and Services Inc, where he discusses insurance with clients. This activity takes minimal time.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Woodbury Financial Services, INC.Broker
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
Woodbury Financial Services, INC.
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Robert W. Baird & CO. IncorporatedBroker
State Registrations11 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.