Eric Nelson Otto

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2006 → Present
  Commonwealth Financial Network
  Waltham, MA
• 07/2006 → 12/2024
  Otto And Associates Asset Management Llc
  Northbrook, IL
• 12/2024 → Present
  Triad Financial Group, Llc
  Northfield, IL

Previous Registrations

• 2002-01-09 → 2006-08-01
  Ubs Financial Services Inc.
  Chicago, IL
  Chicago, IL

Other Businesses

1. Fixed insurance sales, as of 02/2002, Less than 5% of time spent during business hours, Conducted at branch location; Investment related. 2. Otto & Dunne Financial Group; LLC created for securities and advisory business; as of 06/01/2008, 100% of time spent during business hours, Conducted at branch location; Investment related. 3. Trustee and Co-Owner, HEELO LTD., a private entity created for the purpose of owning vacation rental properties located in Grand Cayman, Cayman Islands; As of 01/01/2017; Approximately 1% time spent during securities trading hours per month; Not conducted at branch location; Investment related. 4. Owner, HEELO, LLC; an entity created for the purpose of buying and managing farm real estate located in McLean an Ford Counties, IL, as of 12/16/2019; Less than 1% of time spent during business hours; Not Conducted at branch; Investment related. 5. Personal lending arrangement with Polaris I/O, through entity HEELO, LLC; Located in Northfield, IL, as of 4/24/2025; 0% of time spent during business hours; Not conducted at branch location; Investment related.

Exams

• S66 Uniform Combined State Law Examination
  2001-11-07