Richard Wayne Klotz

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 10/2006 → Present
  Osaic Wealth, Inc.
  Walnut Creek, CA

Previous Registrations

• 2009-03-19 → 2010-01-05
  Nwf Advisory Services Inc
  Pleasant Hill, CA
  Los Angeles, CA
• 2007-02-02 → 2009-03-17
  Sterling Financial Services, Inc.
  Walnut Creek, CA
  Alameda, CA
• 2004-05-21 → 2006-11-13
  Eagle Strategies Llc
  Pleasanton, CA
• 1999-07-14 → 2004-03-02
  Signator Investors, Inc.
  Concord, CA

Other Businesses

1. RICHARD W. KLOTZ, NON INVESTMENT RELATED,784 TWINVIEW PLACE, PLEASANT HILL CA 94523, OWNER, STARTED 3/3/1990, 0 HOURS PER MONTH, 0 HOURS DURING STH 2. TWINOAK PLACE HOMEOWNERS ASSOCIATION POSITION: PRESIDENT NATURE: CORPORATION INVESTMENT RELATED: NO NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2015 ADDRESS: 1530 SUNNYVALE AVE, WALNUT CREEK CA 94595 DESCRIPTION: RUN THE MONTHLY HOMEOWNERS ASSOCIATION MEETING. THE BOARD OVERSEES THE RULES REGULATIONS AND MANAGEMENT OF THE COMPLEX. I HAVE NO CHECKWRITING PRIVILEDGES. FINANCES ARE HANDLED BY A OUTSIDE MANAGEMENT COMPANY. 3. RICHARD W. KLOT CLU CHFC; SOLE PROPRIETORSHIP; INSURANCE; NOT INVESTMENT RELATED; 1990 N. CALIFORNIA BLVD. 8TH FL, WALNUT CREEK CA 94596; OCT 2006; APPROX HRS 80; SEC HRS 10; IDENTIFY INSUANCE NEEDS OF CLIENTS AND PROSPECTS AND HELP THEM OBTAIN INSURANCE SOLUTIONS FOR THEIR INSURANCE NEEDS THAT FOCUS ON LIFE, DISABLITY AND LONG TERM CARE INSURANCE. 4. RICHARD KLOTZ POSITION: trustee for parent NATURE: sole proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/20/2020 ADDRESS: 784 Twinview Place, Pleasant Hill CA 94523, United States DESCRIPTION: monitor accounts, minor changes as needed. 5. RICHARD KLOTZ RENTAL 2 POSITION: Property owner NATURE: sole proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/15/2008 ADDRESS: 2104 Bonifacio St, Concord CA 94520, United States DESCRIPTION: I own this rental property and collect monthly rent from tenants for residential property. Take care of property maintenance. 6. RICHARD KLOTZ RENTAL 1 POSITION: Property owner NATURE: sole proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/1999 ADDRESS: 1530 Sunyvale Ave Unit 1, Walnut Creek CA 94597, United States DESCRIPTION: I own this rental property and collect residential rent from tenant. Take care of property repairs. 7. KLOTZADVISOR POSITION: Financial Advisor NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 165 SECURITIES TRADING HOURS: 120 START DATE: 04/21/2025 ADDRESS: 1990 N. California Blvd 8th Fl, Walnut Creek CA 94596, United States DESCRIPTION: Advising clients regarding their financial planning needs as it relates to their goals and priorities. Implementing solutions and updating as needed. Servicing clients' financial needs and accounts. 8. RICHARD W. KLOTZ CLU CHFC POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2006 ADDRESS: 1990 N. California Blvd 8th Fl, Walnut Creek CA 94596, United States DESCRIPTION: Identify insurance needs of clients and prospects and help them obtain insurance solutions for their insurance needs that focus on life, disability and long-term care insurances.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-04-23
• S63 Uniform Securities Agent State Law Examination
  1991-03-19

Other Names

• Richard W Klotz