Cape May, NJ 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
Location
Cape May NJ
Advisors at this office
3
Advisors at this office
Svetlana K
Series 66
Cape May, NJ
OSAIC
Svetlana Kaploun is a financial advisor with OSAIC, holding a Series 66 designation and bringing eight years of industry experience. She previously worked at Securities America Advisors, Securities America Inc., and National Planning Corporation. Outside of financial advising, she has worked as a home health aide providing personal care services to elderly clients. OSAIC serves a diverse client base including retail and institutional investors, offering integrated brokerage and advisory services, financial planning, and access to third-party money managers. The firm employs asset-allocation tools and automated rebalancing to construct portfolios across various asset classes for discretionary or non-discretionary management.
David M
Series 63, Series 66
Cape May, NJ
OSAIC
David Metz is a financial advisor with OSAIC, holding Series 63 and Series 66 credentials and over 30 years of industry experience. His prior roles include positions at Securities America, Inc., Securities America Advisors, LPL Financial, and National Planning Corporation. Outside of his advisory work, he is the owner of Native Cultures, a non-investment-related business. OSAIC serves a wide range of retail and institutional clients through a large network of affiliated advisers, offering brokerage, advisory services, financial planning, and access to third-party money managers. The firm uses various asset-allocation tools and supports both discretionary and non-discretionary portfolio management, providing integrated solutions for individual and institutional investors.
David L
Series 63, Series 65
Cape May, NJ
OSAIC
David L'erario is a financial advisor at Osaic Wealth, Inc. with 47 years of industry experience. He holds Series 63 and Series 65 designations and previously worked for Woodbury Financial Services, Inc. for 14 years before joining Osaic in 2024. Osaic Wealth, Inc. serves a broad client base, including individual and high-net-worth investors, pension and profit-sharing plans, corporations, and charitable organizations. The firm offers a range of integrated brokerage and advisory services, utilizing asset-allocation tools, risk-tolerance assessments, and third-party money managers to construct diversified portfolios across various investment types.
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