Grahame P Richards Iii

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

• 01/2009 → 09/2023
  Sagepoint Financial, Inc.
  Phoenix, AZ
• 09/2023 → Present
  Osaic Wealth, Inc.
  Scottsdale, AZ

Previous Registrations

• 2007-08-17 → 2023-09-01
  Osaic Services, Inc.
  Scottsdale, AZ
• 2006-08-12 → 2007-08-28
  Ubs Financial Services Inc.
  Scottsdale, AZ
  Scottsdale, AZ
• 2006-04-07 → 2006-08-12
  Piper Sandler & Co.
  Phoenix, AZ
  Minneapolis, MN
  Scottsdale, AZ

Other Businesses

1. GRAHAME RICHARDS POSITION: Other - Agent NATURE: Sole Proprietorship - INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 15 START DATE: 08/17/2007 ADDRESS: 8765 E Bell Rd Suite 204, Scottsdale AZ 85260, United States DESCRIPTION: Help clients with Insurance needs/products 2. GEMINI LAND DEVELOPMENT; INV RELATED; 816 E. VIRGO PLACE, CHANDLER, AZ 85249; PARTNER; 7/04; 5HRS/MONTH; 0 TRADING HRS; REAL ESTATE SPECULATION 3. ZUCCA LLC POSITION: Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2017 ADDRESS: 8765 E Bell Road, Suite 204, Scottsdale AZ 85260, United States DESCRIPTION: Partial owner for office building we use for our securities business. 4. MOSAIC WEALTH SOLUTIONS POSITION: Partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2017 ADDRESS: 8765 E Bell Road, Suite 204, Scottsdale AZ 85260, United States DESCRIPTION: General Administration 5. SOPHIA M LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2017 ADDRESS: 6785 E Bell Road, Suite 204, Scottsdale AZ 85260, United States DESCRIPTION: This is the LLC I run my SagePoint compensation through 6. KALE & KEEGLES POSITION: Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2020 ADDRESS: 8008 E Desert Cove Ave, Scottsdale AZ 85260, United States DESCRIPTION: My wife manages an Airbnb property we own. I occasionally assist in this management.

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-02-14
• S63 Uniform Securities Agent State Law Examination
  1995-11-27

Other Names

• Grahame Preson Richards