Allen Doty
Allen Doty is a registered investment advisor at Osaic Wealth, INC., based in Prescott Valley, AZ, with 21 years of industry experience. Allen 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
Prescott Valley, AZ
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Allen is involved in insurance sales with various insurance companies and dedicates about a quarter of his time to this. He also uses Doty Financial Solutions, LLC and Wealth Network as marketing arms for his financial planning, investment advising, insurance, and wealth management services, spending about half his time and about 10-20% of his time, respectively, on these activities.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
AXA Advisors, LLCBroker
AXA Advisors, LLC
Mony Securities Corporation
Mony Securities CorporationBroker
State Registrations13 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.