Dan Shimogawa
Dan Shimogawa is a registered investment advisor at Osaic Wealth, INC., based in Honolulu, HI, with 21 years of industry experience. Dan 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
615 Piikoi Street, Suite 1205, Honolulu, HI, 96814
Get directionsHistory
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
Dan is an insurance producer with Coda Financial Group since 2012 and offers fixed insurance through his sole proprietorship since 2005, dedicating minimal time to it. He is also a Managing Director at Coda Financial Advisor Network and provides OSJ and consulting services to representatives in his OSJ.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
National Planning CorporationBroker
National Planning Corporation ("npc of America" in Fl & Ny)
Sagepoint Financial, INC.
Sagepoint Financial, INC.Broker
Sunamerica Securities, INC.
Sunamerica Securities, INC.Broker
Morgan Stanley Dw INC.Broker
State Registrations41 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.