Owatonna, MN Landmark Drive Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
Based on OSAIC
Location
125 Landmark Drive, Suite 1
Owatonna MN 55060
Advisors at this office
3
Advisors at this office
Paul S
Series 66
Owatonna, MN
OSAIC
Paul Swenson is a financial advisor at Osaic Wealth Inc. with a Series 66 designation and one year of industry experience. His prior work includes roles at Bay And Bay Transportation, Ecolab, All Seasons Arena, and Owatonna Parks and Recreation. Osaic Wealth, Inc. serves a broad mix of retail and institutional clients through a large network of affiliated financial advisers and multiple advisory platforms. The firm offers integrated brokerage and investment advisory services, financial planning, and access to third-party money managers, using asset-allocation tools and automated rebalancing to construct portfolios across various investment types.
David S
Series 63, Series 65
Owatonna, MN
OSAIC
David Swenson is a financial advisor at OSAIC with 38 years of industry experience. He holds Series 63 and Series 65 licenses and previously worked for Diversified Financial Advisory Group and FSC Securities Corporation. Outside of his advisory role, he operates a part-time profit venture playing poker and other casino games. OSAIC serves a diverse client base, including individual and high-net-worth investors, pension plans, and charitable organizations, offering integrated brokerage and advisory services through a large network of affiliated advisers and multiple platforms. The firm utilizes advanced asset allocation and risk assessment tools to create managed portfolios that include a variety of investment products.
Christopher H
Series 63, Series 65
Owatonna, MN
OSAIC
Christopher Herzog is a financial advisor at OSAIC with 25 years of industry experience. He holds Series 63 and Series 65 designations and has worked previously with Diversified Financial Advisory Group and FSC Securities Corporation. Outside of his advisory work, he serves as an assistant tennis coach for the Owatonna School District. OSAIC serves a broad mix of retail and institutional clients through a large network of affiliated advisors, offering brokerage and investment advisory services, financial planning, and access to third-party managers. The firm uses various asset-allocation tools and supports both discretionary and non-discretionary accounts across multiple investment types.
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)