Mishawaka, IN 3740 Edison Lakes Parkway Office

Team
Updated today
OSAIC logo

OSAIC

Institution

Firm-wide stats for OSAIC

Total advisors

7,830

Across 3,558 offices

Clients per advisor

73 Low

Avg AUM per client

$398,336 Typical

HNW client ratio

10% Low

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

Expertise

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k)

Based on OSAIC

Occupation focus

Founder/Business Owner Executive

Based on OSAIC

Location

3740 Edison Lakes Parkway

Mishawaka IN 46545

Advisors at this office

5

Advisors at this office

user avatar

Jennifer K

CFP®, Series 66

Mishawaka, IN

OSAIC

Jennifer Keck is a CFP® and Series 66-licensed financial advisor with 22 years of industry experience. She has worked at Osaic since 2018 and previously spent 13 years with Signator and John Hancock. Keck is president of Redbud Financial Solutions, an accounting firm, and is involved in insurance brokerage as well as sales and marketing of securities and investment advisory products. Osaic Wealth, Inc. serves a diverse client base including individual investors, institutions, and charitable organizations through a large network of affiliated advisors. The firm offers integrated brokerage and advisory services with a range of portfolio management tools and third-party solutions.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

Anthony M

Series 63, Series 65

Mishawaka, IN

OSAIC

Anthony Mudd is a financial advisor with Osaic Wealth, Inc. in Mishawaka, IN, holding Series 63 and Series 65 licenses and bringing 30 years of industry experience. He previously worked for Signator/John Hancock from 2005 to 2018 before joining Osaic Wealth. Outside of his advisory role, he serves as president of an insurance brokerage providing fixed insurance products. Osaic Wealth, Inc. serves a broad mix of retail and institutional clients through a large network of affiliated advisers and advisory platforms. The firm offers integrated brokerage and investment advisory services with a focus on diversified portfolio construction using asset-allocation tools and supports a variety of third-party managed account solutions.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

William D

Series 65, Series 63

Mishawaka, IN

OSAIC

William Dorsch IV is a financial advisor with OSAIC in Mishawaka, IN, holding Series 65 and Series 63 licenses and six years of industry experience. He has worked at OSAIC since 2020 and previously held positions at Menards and had a brief period of unemployment. In addition to his role at OSAIC, he is an Investment Advisor Representative at Clarity Financial Partners, where he is involved in the sales and marketing of securities and insurance products. OSAIC serves a diverse client base including individual, high-net-worth, institutional, and charitable clients through a broad network of financial advisers and advisory platforms. The firm offers integrated brokerage and advisory services utilizing asset-allocation tools, risk assessments, and access to third-party money managers to construct portfolios across various investment types.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

Nathan F

Series 63, Series 65

Mishawaka, IN

OSAIC

Nathan Fisher is a financial advisor at Osaic with 23 years of industry experience. He holds Series 63 and Series 65 registrations and has worked at Osaic since 2018, prior to which he was with Signator from 2002 to 2018. Outside of his advisory role, Fisher volunteers for a local political campaign. Osaic Wealth, Inc. serves a diverse clientele including individuals, high-net-worth investors, pension plans, corporations, and charitable organizations through a large network of affiliated advisors. The firm offers integrated brokerage and advisory services, utilizes advanced asset-allocation tools, and provides access to multiple third-party money managers and managed account platforms.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
user avatar

Rex S

Series 63, Series 65

Mishawaka, IN

OSAIC

Rex Sallak is a financial advisor with OSAIC, holding Series 63 and Series 65 licenses and bringing 28 years of industry experience. He worked at Signator Investors, Inc. and John Hancock Mutual Life Insurance Company for 20 years before joining OSAIC in 2018. He is also involved with Clarity Financial Partners, focusing on the sales and marketing of fixed annuities, securities, investment advisory, and insurance products. OSAIC serves a broad range of retail and institutional clients, offering integrated brokerage and investment advisory services alongside financial planning and retirement consulting. The firm utilizes asset-allocation tools and supports multiple advisory platforms to construct diversified portfolios tailored to client needs.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
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