Lake Forest, CA El Toro Road 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
22954 El Toro Road
Lake Forest CA 92630
Advisors at this office
4
Advisors at this office
Stanley B
CFP®, Series 63
Lake Forest, CA
OSAIC
Stanley Bruno is a CFP® with 53 years of industry experience, currently serving with OSAIC since 1989. He specializes in fixed annuity and fixed life sales through his sole proprietorship. OSAIC is a large financial services firm serving a diverse client base that includes individual, high-net-worth, institutional, and charitable clients. The firm provides integrated brokerage and advisory services with a range of investment platforms, employing asset-allocation tools and third-party solutions for portfolio management.
Kenneth M
Series 63
Lake Forest, CA
OSAIC
Kenneth Mascari is a financial advisor at OSAIC with 44 years of industry experience. He holds a Series 63 designation and has worked at Securities America Advisors and KPM Asset Management, Inc. He is also a part-owner of the building housing his branch office and manages a family trust property. OSAIC serves a diverse client base that includes individual and high-net-worth investors, pension plans, corporations, and charitable organizations. The firm provides integrated brokerage and advisory services, utilizing various tools and third-party platforms to construct and manage portfolios across a wide range of asset classes.
Dale W
CFP®, Series 63
Lake Forest, CA
OSAIC
Dale Wood is a CFP® with 41 years of experience in the financial industry and has been with OSAIC since 1990. He holds a Series 63 license and operates a sole proprietorship offering fixed and variable annuity insurance as well as fixed life products. OSAIC serves a diverse client base including individual, high-net-worth, institutional, and charitable investors through a broad network of financial advisers. The firm provides a range of brokerage, advisory, and retirement services using various asset-allocation tools and third-party platforms.
Stanley B
Series 66
Lake Forest, CA
OSAIC
Stanley Bruno is a financial advisor at OSAIC with 14 years of industry experience. He holds the Series 66 designation and has worked at Royal Alliance since 2012. Outside of his advisory role, he owns a sole proprietorship that sells fixed annuities and fixed life insurance. OSAIC serves a diverse client base including individual and high-net-worth investors, pension plans, corporations, and charitable organizations. The firm offers integrated brokerage and advisory services, utilizing asset-allocation tools and third-party money managers to construct portfolios across various asset classes.
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