Birmingham, AL Colonnade Parkway Office
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OSAIC
Institution
Firm-wide stats for OSAIC
About
Osaic Wealth, Inc. serves a broad mix of retail and institutional clients — including individual and high‑net‑worth investors, pension and profit‑sharing plans, corporations, and charitable organizations — through a large network of affiliated financial advisers and multiple advisory platforms. The firm offers integrated brokerage and investment advisory services, financial planning, retirement plan consulting, unified managed accounts, advisor‑managed portfolios, and access to third‑party money managers and wrap programs.
The firm’s advisers use firm‑provided asset‑allocation tools, risk‑tolerance questionnaires, efficient‑frontier analysis, and automated rebalancing to construct portfolios that may include stocks, bonds, options, mutual funds, ETFs and alternative investments; accounts can be managed on either a discretionary or non‑discretionary basis and clients may impose reasonable investment restrictions. Osaic also supports legacy platform programs and transitions (including accounts transferred from prior mergers) and makes available third‑party services such as Envestnet and SEI for model and managed‑account solutions.
What is noteworthy about Osaic relative to many peers is its complex corporate and platform footprint — including multiple mergers that consolidated broker‑dealer and RIA businesses, significant private‑equity ownership, and an established connection to an alternative‑investment distribution platform — and its use of a variety of third‑party commercial arrangements (revenue sharing, platform payments and other referral or structuring arrangements). The firm has also disclosed multiple regulatory enforcement matters in recent years (including SEC orders and penalties) and maintains advisor recruitment and transition programs and lender‑linked services (sweep and lending arrangements and advisor loan/acceleration incentives) that create identifiable conflicts of interest which the firm discloses and says it manages.
Based on OSAIC
Expertise
Based on OSAIC
Location
3800 Colonnade Parkway, Suite 600
Birmingham AL 35243
Advisors at this office
3
Advisors at this office
Michael S
Series 63, Series 65
Birmingham, AL
OSAIC
Michael Smith is a financial advisor at OSAIC with 30 years of industry experience. He holds the Series 63 and Series 65 designations and has held positions at several firms, including Sagepoint Financial Inc, Wealth Management Group, Securian Financial Services Inc, and Mass Mutual. Outside of his advisory role, he also works as a broker providing fixed life insurance and fixed annuity quotes for clients. OSAIC serves a diverse client base, including individuals, high-net-worth investors, pension and profit-sharing plans, corporations, and charitable organizations. The firm offers integrated brokerage and investment advisory services through a large network of affiliated advisors, utilizing firm-provided asset-allocation tools, risk-tolerance assessments, and access to third-party money managers and wrap programs.
Tyler N
Series 66
Birmingham, AL
OSAIC
Tyler Noles is a financial advisor with OSAIC in Birmingham, AL, holding a Series 66 designation and two years of industry experience. His background includes roles at PricewaterhouseCoopers LLC and business operations within The Noles Group, an S-Corp supporting investment-related client services. He also works as an insurance agent specializing in fixed products through multiple agencies. OSAIC serves a diverse client base including individual and institutional investors, offering a range of advisory and brokerage services supported by proprietary asset-allocation tools and access to third-party managers. The firm is notable for its extensive platform network, multiple mergers, and integration of various investment solutions.
Pope R
Series 65, Series 63
Birmingham, AL
OSAIC
Pope Rivers is a financial advisor at Osaic with Series 65 and Series 63 licenses and one year of industry experience. He has worked at several firms, including The Noles Group, Strategic Financial Partners, and Tre Luna, where he is also involved in a catering business. Additionally, he serves as an insurance agent managing fixed annuities, life, and health insurance products. Osaic Wealth, Inc. serves a diverse client base including individual investors, high-net-worth clients, pension plans, corporations, and charitable organizations through a large network of affiliated advisers and platforms. The firm provides integrated brokerage and advisory services with access to multiple investment products and third-party managers, using tools such as asset-allocation models and automated rebalancing.
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