Rochester, NY W Henrietta Road 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
2024 W Henrietta Road, Suite 5 E
Rochester NY 14623
Advisors at this office
3
Advisors at this office
Brian B
Series 63
Rochester, NY
OSAIC
Brian Blaustein is a financial advisor with OSAIC in Rochester, NY, holding a Series 63 designation and bringing 28 years of industry experience. His prior work includes roles at Securities America Advisors, Inc. and Securities America, Inc. Blaustein is involved in fixed insurance product sales and marketing through BlueMark Advisors, which partners strategically with the Greater Rochester Chamber of Commerce to offer insurance reviews to its members. OSAIC serves a diverse client base, including retail and institutional investors, with a multi-advisor platform that provides brokerage and advisory services. The firm uses model-based asset allocation and portfolio optimization and supports various investment strategies, serving individual investors, retirement plans, charities, and corporate clients.
Mark K
Series 63, Series 66
Rochester, NY
OSAIC
Mark Kluge is a financial advisor with OSAIC, holding Series 63 and Series 66 designations and bringing 33 years of industry experience. He has worked at OSAIC since 2024 and previously spent eight years with Securities America Advisors, Inc. He is active in several charitable and professional organizations, including advisory councils for the University of Rochester, Hartwick College, Colgate University, and the United Way of Greater Rochester. OSAIC Wealth serves a diverse client base ranging from individual investors to institutional and corporate clients, offering brokerage and advisory services through a multi-advisor platform. The firm emphasizes model-based asset allocation and portfolio optimization, providing various investment programs and support through a complex network of affiliates and third-party managers.
Richard H
Series 63, Series 65
Rochester, NY
OSAIC
Richard Harter is a financial advisor with OSAIC in Rochester, NY, holding Series 63 and Series 65 credentials and 28 years of industry experience. He previously worked at Securities America Advisors, Inc. and Wall Street Financial Group, Inc. He serves as treasurer of the Brighton Campus Park Condominium Association and is involved in income tax preparation and joint marketing initiatives related to financial planning and insurance sales through his partnerships. OSAIC Wealth serves a diverse range of retail and institutional clients, offering brokerage and advisory services with a focus on model-based asset allocation and portfolio optimization. The firm supports multiple investment strategies and platforms for individual investors, retirement plans, charities, and corporate clients.
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