SourcingSourcing

OSAIC ADVISORY SERVICES, LLC

C27
CRD 171070·SEC 801-80075·ATLANTA, GA
AUM
$15.48B
$1B+
Est. Revenue
$154.8M
@ 1% on AUM
Est. EBITDA
$46.4M
@ 30% margin
Est. Deal Value
$371.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
OSAIC ADVISORY SERVICES, LLC
CRD
171070
SEC file #
801-80075
EIN
000000000
DBA names
—

Economics

AUM
$15.48B
AUM band
$1B+
AUM trajectory
'20'26
$1.47B → $15.48B▲ +955%
Client mix
Individuals Other25,761
Individuals High Net Worth3,755
Corporations274
Pension Profit Sharing Plans70
Charitable Organizations38

Operations

Employees (total)
2,180
Advisory staff (per ADV)
344
Advisory staff (5-yr trend)
'20'26
51 advisors → 344 advisors▲ +575%
Primary office
ATLANTA GA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
ascentfinancialgroup.com

Compliance

Disclosures (firm)
7
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
OSAIC HOLDINGS, INC.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
OSAIC HOLDINGS, INC.
HAMEL, CYNTHIA, ANN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
ASCENTFINANCIALGROUP.COM
Rdap Domain Creation Date
2005-08-18T23:01:31Z
Rdap Firm Age Years
21
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
14
Form 5500 Total Compensation
317,466
Form 5500 Compensation Trajectory 3y
2025271,504
202645,962
Form 5500 Plan Count Trajectory 3y
202513
20261
Schedule C Total Compensation
317,466
Schedule C Service Provider Rows
14

SEC EDGAR

Edgar Cik
0001677044
Edgar Registered
Yes
Edgar Filing Count
36
Edgar First Filing Date
2016-10-07
Edgar Last Filing Date
2026-05-15
Edgar 13f Count
28
Edgar 13f Latest AUM Estimate
Filing Date2026-05-15
Accession0001677044-26-000005
Edgar Form D Count
2
Edgar Form D Offerings
2017-01-112017-01-11 · 0001677044-17-000002
2016-10-072016-10-07 · 0001677044-16-000004
Edgar Former Names
Advisor Group Holdings, Inc.
ADVISOR GROUP HOLDINGS, INC.

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
47
Bc Firm Active IA Count
50
Bc Firm IAR Count
50
Custodian Candidates
Full
Charles Schwab6
Fidelity4
E*trade4
Edgar Addresses
Mailing
18700 HAYDEN RD.SUITE 255SCOTTSDALE, AZ 85225
Business
18700 HAYDEN RD.SUITE 255SCOTTSDALE, AZ 85225
Edgar EIN
000000000
Edgar Recent Filings
13F-HR2026-05-15 · 0001677044-26-000005
SCHEDULE 13G/A2026-05-12 · 0001677044-26-000004
Fee Schedule
Bracket I66
Bracket Ix26
Bracket Xi4
Bracket Iii2
Bracket Iv1
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2034-08-18T23:01:31Z
Rdap Domain Last Changed
2024-08-19T16:45:32Z
Rdap Nameservers
Ns1.advisorstech.netNs2.advisorstech.netNs3.advisorstech.netNs4.advisorstech.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
No

People (55)

55
HAMEL, CYNTHIA, ANN
Executive Officer · 2.5%
3014361
PRICE, JAMES, DALE
Executive Officer · 2.5%
1243224
SCHLUETER, MATTHEW, ADAM
Executive Officer · 2.5%
2627931
MIHAL, SHAWN, MICHAEL
Executive Officer · 2.5%
3262384
MITCHELL, CHRISTOPHER, MILLS
Executive Officer · 2.5%
2420144
Jamie Sue Blum
IAR
7010546
Eduardo Esteban Martinez
IAR
7256734
ANTWONE M HARRIS
IAR
4642598
JOHN HYRUM KOYLE
IAR
4409795
Blake Fortune
IAR
7771938
JUBIN KEYVAN
IAR
2274097
Henry William Kettler
IAR
7128292
Valerie Giles Roque
IAR
6651404
JOHN FREDERICK PITTS
IAR
1975054
PRESTON YOST
IAR
7378986
LLOYD JEFFREY GALBRAITH
IAR
1766993
GERALD WAYNE NACKERS
IAR
2017730
WILLIAM W JINRIGHT
IAR
7820623
VALDEN J ELLIS
IAR
7623742
MICHAEL BLAKE GALLION
IAR
5299276
CASSIE BLAZEVSKI
IAR
6214894
MEAGAN A HASSEBROCK
IAR
7337947
BRYON JON DECKER
IAR
3234450
TRISTAN SHAWN BLIESNER
IAR
5206253
PATRICK CHRISTIAN MCGOVERN
IAR
2608205
JAMES B. COSTELLO
IAR
6030812
TODD CHRISTIAN DARNOLD
IAR
4499096
MARK A CIRELLI
IAR
4199208
MARK EDWARD WREN
IAR
2819667
Mervyn Isaac Garcia
IAR
7500925
RICHARD ANTHONY RUSSO
IAR
3190786
STEPHEN MARK GORDON
IAR
2714986
ROBERT WILLIAM REYNOLDS
IAR
5122059
KYLE LARRY SULLIVAN
IAR
4822889
SHANNON C BARRY
IAR
4848041
JOSEPH PATRICK GALLEMORE
IAR
4818797
MARK DAVID HEISEY
IAR
4258866
MARK J TICHAR
IAR
4282565
Alyce Sara Phinney
IAR
6817786
KELLY ANNE ELDRIDGE
IAR
7013503
DIANNE WILLIAMS NOLIN
IAR
2181092
RICHARD LEE ANDERSON
IAR
1327737
Garrett Rohrbaugh
IAR
6943108
JOSEPH PAUL GIBBONS
IAR
6579333
JOHN JOSEPH IANNANTUONO
IAR
829360
JASON ANDREW IANNANTUONO
IAR
2499549
BRENT BERNARD GOTTIER
IAR
1329980
CYNTHIA JEAN STORM FISCHER
IAR
1007582
RICHARD PETER CROSS
IAR
1003868
KEVIN WILEY
IAR
7979046
MICHELLE RUTH DREWRY
IAR
2790426
JOSEPH JOHN MESSINA
IAR
2771353
MATTHEW WILLIAM KLEWER
IAR
4018943
GREGORY STANLEY KURAS
IAR
1444445
HARVEY ALAN BRODE
IAR
31169