Cary, NC NW Maynard Rd Office
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OSAIC
Institution
Firm-wide stats for OSAIC
About
Osaic Wealth serves a broad mix of retail and institutional clients through a multi-advisor platform that supports individual investors (including high‑net‑worth and non‑HNW households), retirement plan sponsors and participants, charities, and corporate clients. It offers both brokerage and advisory services across a range of programs — including comprehensive financial planning, advisor‑managed wrap and non‑wrap portfolios, Unified Managed Accounts, third‑party money manager programs, and retirement plan consulting — many of which are delivered through affiliated broker‑dealer and RIA relationships.
The firm’s investment process emphasizes model‑based asset allocation and portfolio optimization supported by risk‑tolerance questionnaires, efficient frontier analysis, and rebalancing tools; advisors can implement discretionary UMA or advisor‑managed strategies, impose client restrictions, or select third‑party managers and proprietary “Enterprise Strategist” models. Osaic also maintains multiple custodial and legacy program arrangements (including accounts transitioned from earlier mergers), and makes alternative investments available via third‑party platforms that perform initial and ongoing due diligence.
Compared with peers, Osaic is notable for its scale and recent consolidation activity, its complex affiliate network (broker‑dealer, asset managers, insurance and trust affiliates) and private‑equity ownership that influence its platform economics and product offerings. The firm also operates multiple lending and cash‑management programs and receives third‑party platform and revenue‑sharing arrangements — matters it discloses as potential conflicts of interest — and has had several recent regulatory disclosures and enforcement matters that led to enhanced controls and independent reviews.
Based on OSAIC
Location
1150 NW Maynard Rd, Suite 110
Cary NC 27513
Advisors at this office
3
Advisors at this office
Kerry G
Series 63, Series 66
Cary, NC
OSAIC
Kerry Goodman is a financial advisor at OSAIC with 21 years of industry experience and holds the Series 63 and Series 66 licenses. Prior to joining OSAIC in 2026, Goodman worked at several firms including Founders Financial Alliance, LLC, Independent Advisor Alliance, LLC, LPL Financial, LLC, Invest Financial Corporation, and Truist Investment Services, Inc. Goodman serves as an at-large board member of the Abecedarian Education Foundation, a nonprofit focused on early childhood education. OSAIC Wealth serves a diverse client base including individual investors, retirement plan sponsors, charities, and corporate clients. The firm offers a range of brokerage and advisory services through a multi-advisor platform with an investment process centered on model-based asset allocation, portfolio optimization, and a suite of advisory strategies.
James M
CFA®, Series 63, Series 66
Cary, NC
OSAIC
James Mertens is a CFA® charterholder with 26 years of industry experience, currently serving as a financial advisor at OSAIC since 2026. His previous roles include positions at Founders Financial Alliance, LLC, Independent Advisor Alliance, and LPL Financial, LLC, where he worked for 20 years. OSAIC Wealth serves a diverse client base including retail investors, retirement plan sponsors, and institutional clients through a multi-advisor platform offering brokerage and advisory services with a focus on model-based asset allocation and portfolio optimization. The firm is notable for its scale, complex affiliate structure, and private-equity ownership, providing a wide range of investment and financial planning programs.
Garrett R
CFP®, Series 66, Series 63
Cary, NC
OSAIC
Garrett Railsback is a CFP® professional at OSAIC with 12 years of industry experience. He has worked at several firms including Founders Financial Alliance, LLC, LPL Financial LLC, and Edward Jones. OSAIC Wealth serves a diverse client base including retail and institutional investors, offering a variety of brokerage and advisory services supported by model-based asset allocation and portfolio optimization tools. The firm is notable for its scale, complex affiliate network, and private-equity ownership.
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