Richard Louis Friend

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

• 05/2012 → 07/2020
  Investacorp Inc
  Miami, FL
• 05/2012 → 07/2020
  Investacorp Advisory Services
  Miami, FL
• 07/2020 → 06/2024
  Securities America, Inc.
  Fort Wworth, TX
• 07/2020 → 06/2024
  Securities America Advisors, Inc.
  Fort Worth, TX
• 06/2024 → Present
  Osaic Wealth, Inc.
  Fort Worth, TX
• 06/2024 → Present
  Osaic Wealth, Inc.
  Fort Worth, TX

Previous Registrations

• 2020-07-17 → 2024-06-14
  Securities America Advisors, Inc.
  Fort Worth, TX
  Manhattan Beach, CA
• 2012-05-04 → 2020-07-17
  Investacorp Advisory Services Inc
  Manhattan Beach, CA
  Manhatten Beach, CA
• 1997-07-08 → 2012-04-27
  Msi Financial Services, Inc.
  Los Angeles, CA
  Los Angeles, CA

Other Businesses

1. R FRIEND FINANCIAL POSITION: Owner NATURE: Receiver of renewal commissions from insurance products sold prior to joining John Stokes Financial. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2012 ADDRESS: 1751 River Run, Suite 200, Fort Worth TX 76107, United States DESCRIPTION: Reviewing fixed insurance cases and service issues as they arise, no more that 5% of my time monthly is dedicated to this OBA. 2. ARAPAHOE RIDGE HOMEOWNERS ASSOCIATION POSITION: Officer NATURE: Board member of a Home Owners Association INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 03/28/2023 ADDRESS: Margaret Boren - Treasurer, 306 Arapahoe Ridge, Weatherford TX 76087, United States DESCRIPTION: HOA Spokesperson, participate on committees and assisting on managing policies of the association. The association consists of 58 homes with current annual dues of $75 per home and a current annual budget of less than $4,000 per year. 3. R FRIEND FINANCIAL POSITION: Owner NATURE: Receiver of renewal commissions from insurance products sold prior to joining John Stokes Financial. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2012 ADDRESS: 105 Autumn Springs Ct, Weatherford TX 76107, United States DESCRIPTION: Reviewing fixed insurance cases and service issues as they arise, no more that 5% of my time monthly is dedicated to this OBA. 4. ARAPAHOE RIDGE HOMEOWNERS ASSOCIATION POSITION: President NATURE: Board member of a Home Owners Association INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 03/28/2023 ADDRESS: Margaret Boren - Treasurer, 306 Arapahoe Ridge, Weatherford TX 76087, United States DESCRIPTION: HOA Spokesperson, participate on committees and assisting on managing policies of the association. The association consists of 58 homes with current annual dues of $100 per home and a current annual budget of less than $6,000 per year.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-01
• S63 Uniform Securities Agent State Law Examination
  1992-03-27

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Rick Friend
• Ricard Louis Frien