Caitlin West is a registered investment advisor at Osaic Wealth, INC., based in Hillsborough, NJ, with 14 years of industry experience. Caitlin 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
Hillsborough, NJ
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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.
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Caitlin is the Director of RIA Operations at The Ascent Group, LLC, dedicating full-time hours to operations management and platform administration. She also serves as a Non-Academic Co-Chair at Rutgers University, a role requiring minimal time commitment.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
The Ascent Group, LLC
Previous Registrations
Triad Advisors LLCBroker
Journey Strategic Wealth LLC
M Holdings Securities, INC.Broker
Fidelity Personal and Workplace Advisors
Strategic Advisers LLC
Fidelity Brokerage Services LLCBroker
First Republic Investment Management, INC.
First Republic Securities Company, LLCBroker
Vanderbilt Securities, LLCBroker
Gitterman Wealth Management, LLC
Triad Advisors, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations2 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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