Charlotte, NC Sikes Place 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
10800 Sikes Place, Suite 205
Charlotte NC 28277
Advisors at this office
3
Advisors at this office
Max H
CFP®, ChFC®, Series 63, Series 65
Charlotte, NC
OSAIC
Max Hockenberry is a financial advisor with OSAIC in Charlotte, NC, holding CFP® and ChFC® designations, and has 40 years of industry experience. His prior roles include over three decades at Signator Investors, Inc., and he is a managing partner of Maxworth Consulting Group, LLC, where he works on consulting engagements related to assessing on-call burdens for hospital emergency departments. OSAIC Wealth serves a diverse client base including individual investors, retirement plans, charities, and corporations through a multi-advisor platform offering brokerage and advisory services. The firm utilizes model-based asset allocation and portfolio optimization supported by various tools and offers discretionary and advisor-managed strategies alongside third-party manager options.
Steve W
CFP®, ChFC®, Series 63, Series 65
Charlotte, NC
OSAIC
Steve Worthy is a CFP® and ChFC® with 46 years of industry experience. He is currently with OSAIC and has held roles at Maxworth Consulting Group, LLC since 2006 and Signator Investors, Inc. from 1980 to 2018. Worthy also serves as managing partner of Maxworth Consulting Group, where he develops compensation strategies for hospital emergency department medical staff. OSAIC is a multi-advisor platform serving retail and institutional clients, offering a range of brokerage and advisory services including comprehensive financial planning and managed portfolios. The firm uses model-based asset allocation and portfolio optimization tools and supports a diverse client base including high-net-worth individuals, retirement plans, charities, and corporate clients.
Kyle W
Series 63, Series 65
Charlotte, NC
OSAIC
Kyle Worthy is a financial advisor at Osaic Wealth in Charlotte, NC, with 21 years of industry experience. He has held roles at Osaic since 2018 and previously worked for Signator Investors Inc for 13 years. Outside of his advisory work, Worthy owns and operates a photography business. Osaic Wealth serves a diverse client base including retail and institutional investors, offering a multi-advisor platform with brokerage and advisory services. The firm’s investment approach includes model-based asset allocation and portfolio optimization, supporting various managed account programs and third-party money managers.
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