Woodland Hills, CA Canoga Ave. Office

Team
Updated today
OSAIC logo

OSAIC

Institution

Firm-wide stats for OSAIC

Total advisors

7,828

Across 3,560 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

6200 Canoga Ave., Suite #375

Woodland Hills CA 91367

Advisors at this office

5

Advisors at this office

user avatar

Thomas D

Series 63, Series 66

Woodland Hills, CA

OSAIC

Thomas Dodd is a financial advisor at OSAIC with 24 years of industry experience. He previously worked at Securities America Advisors, Inc. and SECURITIES AMERICA, Inc. for a combined 20 years. Dodd holds Series 63 and Series 66 designations and has been involved in insurance sales as a term insurance agent and in operational and client support roles at KGE WealthManagement. 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 investment advisory services with asset-allocation tools, risk assessments, and access to third-party money managers and 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

Keith E

Series 63, Series 66

Woodland Hills, CA

OSAIC

Keith Ellen is a financial advisor with OSAIC, holding Series 63 and Series 66 designations and possessing 37 years of industry experience. His career includes longstanding roles at American Financial Network Advisory Services and Securities America Advisors, where he worked for over 20 years. Ellen is also the owner of KGE Wealth Management, an investment-related business. OSAIC serves a diverse client base including individual and high-net-worth investors, pension plans, corporations, and charitable organizations through a broad network of advisers. The firm provides integrated brokerage and advisory services, leveraging asset-allocation tools and multiple third-party platforms to manage portfolios with various investment options.

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

William P

Series 66

Woodland Hills, CA

OSAIC

William Pare is a financial advisor at OSAIC with four years of industry experience. He holds the Series 66 designation and has worked at firms including Securities America Advisors and KGE Wealth Management, where he also has operational responsibilities. OSAIC serves a diverse clientele including individual and high-net-worth investors, pension and profit-sharing plans, corporations, and charitable organizations. The firm provides integrated brokerage and advisory services, utilizing firm-provided asset allocation tools and third-party platforms to construct and manage portfolios across a broad spectrum of 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

Blake R

Series 66

Woodland Hills, CA

OSAIC

Blake Ribnick is a financial advisor with Osaic Wealth, Inc. based in Woodland Hills, CA, holding a Series 66 designation and 15 years of industry experience. He previously worked at Securities America Advisors, Inc. from 2011 to 2024. Ribnick is also involved in insurance sales, including annuities. Osaic Wealth, Inc. serves a diverse client base that includes individual and high-net-worth investors, pension and profit-sharing plans, corporations, and charitable organizations. The firm provides integrated brokerage and investment advisory services, financial planning, retirement plan consulting, and access to various managed account solutions through multiple advisory platforms and third-party providers.

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

Manuela E

Series 66

Woodland Hills, CA

OSAIC

Manuela Ellen is a financial advisor at Osaic with a Series 66 designation and one year of industry experience. She has previously worked at KGE Wealth Management and Securities America, Inc. There are no additional outside activities reported. OSAIC serves a diverse client base including individual investors, high-net-worth clients, pension and profit-sharing plans, corporations, and charitable organizations through a large network of affiliated advisors. The firm provides integrated brokerage and advisory services, financial planning, retirement plan consulting, and access to various managed account solutions, employing a range of asset-allocation tools and third-party platforms.

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Executive
View complete list of advisors at this office
Warmer team member

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.

Find your advisor

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 referrals are provided by FinanceHQ LLC ("FHQ"), a wholly-owned subsidiary of Warmer and an SEC-registered investment adviser. We may be compensated by participating advisors. You pay no fee to use our matching service, and advisor fees are not increased because of a referral. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.

By using our service, you agree to the Warmer Terms of Service and FHQ Advisory Agreement, and acknowledge Warmer's Privacy Policy. Please review FHQ's ADV Part 2A and Form CRS. Logos provided by Logo.dev

© 2026 Warmer Holdings Inc. ("Warmer")