Mark Oswald

Biography

Mark M. Oswald is a seasoned compliance expert with 35 years of experience in private wealth management, financial planning, ERISA qualified plans, insurance, and services for high-net-worth individuals and families. He has a deep commitment to fiduciary responsibility and has provided expert testimony in FINRA, SEC, civil, and criminal matters over the past two decades.

Mark currently lives in Cape Coral, Florida, where he spends his time participating in sports, going to the beach, and enjoying time with friends and family.

Mark’s Team:

John Hoffman

Managing Partner

Jason Hester

Managing Partner

Erika Wood

AIF®, RICP®, CFP®

Executive Director of Planning

Blair Enfield

CFP®

Chief Growth Officer

Pete Peterson

AIF®, CRPS®, CPFA®, C(k)P®

Executive Director Corporate Solutions

Jim Mars

CFP®

Chairman of the Board

Steven Rutledge

Executive Director of Insurance Operations

Stephanie Elton

Chief of Staff

Chief Compliance Officer

Charlene Smith

Executive Director of Client Engagement

Robin DeHoyos

Executive Administrator

Emory Smith

Executive Director of Insurance Strategies

Brittany Collier

Director of Accounting

Chad Slotta

Chief Strategy Officer

Michael Rabiner

Executive Director of Investments

Contact

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