Johnson Creek, WI 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
475 Hartwig Blvd Ste 200
Johnson Creek WI 53038
Advisors at this office
3
Advisors at this office
Allen D
Series 63, Series 65
Johnson Creek, WI
OSAIC
Allen Dable is a financial advisor at OSAIC with 11 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at firms including JP Morgan Securities, JP Morgan Chase Bank, and Thrivent Financial. He is the owner of Highpointe Wealth Management, Inc., an S corporation involved in investment advisory activities. OSAIC Wealth serves a diverse client base including retail and institutional investors, offering brokerage and advisory services through a multi-advisor platform. The firm emphasizes model-based asset allocation and portfolio optimization, supporting a range of investment strategies and maintaining a complex affiliate network.
Gene G
CFP®, Series 66
Johnson Creek, WI
OSAIC
Gene Gorrell is a CFP® professional with eight years of industry experience, currently serving as a financial advisor at OSAIC since 2024. He previously worked at Edward Jones from 2017 to 2024 and has experience with Generac Mobile Products. Gorrell operates a sole proprietorship focused on life and long-term care solutions for clients and owns Lake Country Asset Management, LLC, which provides fee-based and commission-based financial advisory services including wealth management and insurance products. OSAIC Wealth serves a diverse client base including individual investors, retirement plan sponsors, charities, and corporate clients through a large multi-advisor platform. The firm offers a range of brokerage and advisory services, emphasizing model-based asset allocation and portfolio optimization, and is notable for its scale, complex affiliate network, and private-equity ownership.
William N
Series 65, Series 63
Johnson Creek, WI
OSAIC
William Neubauer is a financial advisor with OSAIC, holding Series 63 and Series 65 licenses and bringing 31 years of industry experience. He has worked at OSAIC since 2024 and previously served eight years at Securities America Inc. and Securities America Advisors. Neubauer is also a senior partner at Highpointe Wealth Management, where he is involved in the sale of life, long-term care, and disability insurance as well as fixed and equity indexed annuities. OSAIC Wealth serves a broad range of retail and institutional clients through a multi-advisor platform offering brokerage and advisory services, including financial planning, managed portfolios, Unified Managed Accounts, and retirement plan consulting. The firm’s investment approach is model-based, emphasizing asset allocation and portfolio optimization, supported by risk assessments and various management strategies.
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