Joshua Swayne
Joshua Swayne is a registered investment advisor at Osaic Wealth, INC., based in Bellevue, WA, with 24 years of industry experience. Joshua 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
400 112th Avenue NE, Suite 135, Bellevue, WA, 98004
Get directionsHistory
Regulatory History (3)
Customer Dispute
January 2011Customer Dispute
October 2009Customer Dispute
August 2003Other Business ActivitiesSells Insurance
Joshua is a licensed representative for life and disability insurance, which is investment-related when policies have indexed options, and spends minimal time on this. He also works nearly full-time as an IAR managing advisory accounts held at Pershing under the DBA Crossroads Capital Management, Inc.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Kms Financial Services, INC.Broker
Kms Financial Services, INC
Signator Financial Services, INC.
Signator Financial Services, INC.Broker
Pacific West Financial Consultants INC
Pacific West Securities, INC.Broker
Wells Fargo Investments, LLCBroker
Pacific West Securities, INC.Broker
State Registrations12 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.