Osaic Wealth, Inc.

Registered investment adviser · Scottsdale, AZ · CRD #23131

Form ADV data as of 2026-09-01

Regulatory assets

$234.86 billion

Total accounts

850,797

Employees

8,979

Disclosure events

126

Firm details

Website: https://www.dianacurran.net/
Telephone: 800-821-5100
SEC file number: 801-54859
Most recent Form ADV filing: 2026-08-28
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 13 disclosure questions answered Yes, covering 126 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Convicted of or pled guilty/no contest to a felony (past 10 years)
Convicted of or pled guilty/no contest to an investment-related misdemeanor (past 10 years)
Charged with an investment-related misdemeanor (past 10 years)
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm
Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.
A court found involvement in a violation of investment-related statutes or regulations

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$161.04 billion
Non-discretionary regulatory assets under management	$73.81 billion
Total regulatory assets under management	$234.86 billion
Discretionary accounts	575,960
Non-discretionary accounts	274,837
Total accounts	850,797
Regulatory assets under management attributable to non-U.S. persons	$2.8 million

People

Total employees (excluding clerical)	8,979
Employees performing investment advisory functions (including research)	7,143
Employees who are registered representatives of a broker-dealer	7,655
Employees registered as investment adviser representatives with a state	6,297
Employees registered as IARs for another investment adviser	172
Employees who are licensed insurance agents	5,447
Firms or persons who solicit advisory clients on the firm's behalf	176

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	No
Client funds and securities held in the firm's custody	$195.94 billion
Clients for whom the firm has custody	413,922
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	4

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Trust companyInsurance company or agencyPension consultantSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Executes agency cross transactions involving advisory client securities
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	513,910	$113.44 billion
High net worth individuals	55,457	$113.36 billion
Banking or thrift institutions	2	$985,309
Pooled investment vehicles (other than investment companies and BDCs)	3	$224,391
Pension and profit sharing plans (not the participants or government plans)	1,251	$1.07 billion
Charitable organizations	855	$1.60 billion
State or municipal government entities (including government pension plans)	10	$14.4 million
Corporations or other businesses not listed above	4,024	$5.37 billion