Daniel C. Osgood

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

RANCHO SANTA FE, CA 92091

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CRD#: 2684112

Professional summary

Daniel Craig Osgood is a registered financial advisor currently at "TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT" located in Rancho Santa Fe, California.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Daniel has worked at 7 firms and has passed the Series 66, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Dan Osgood is the President and CEO of DCO Wealth Management, Inc. Located at 11622 El Camino Real, Suite 100, San Diego, CA 92130, the firm provides financial organization services and all investment-related activity is overseen by Christopher Tate. This relationship began on January 1, 2015. Dan spends roughly 75 hours per month in this role, half of which are during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Craig Osgood's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 16, 2012 - Present

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

Office #1: 5531 Cancha De Golf Suite #105, Rancho Santa Fe, CA 92091

RIA

CRD#: 160657

RANCHO SANTA FE, CA

Past

June 14, 2010 - September 4, 2012

ADVANCED PRACTICE ADVISORS, LLC

RIA

CRD#: 154084

SAN DIEGO, CA

Past

June 14, 2010 - November 18, 2010

FINANCIAL ADVISERS OF AMERICA, LLC

CRD#: 142170

SAN DIEGO, CA

Past

October 15, 2009 - December 3, 2010

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

SAN DIEGO, CA

Past

July 14, 2006 - October 6, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN DIEGO, CA

Past

July 14, 2006 - October 6, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN DIEGO, CA

Past

April 10, 2001 - July 21, 2006

PIPER SANDLER & CO.

RIA

CRD#: 665

LAJOLLA, CA

Past

January 18, 2001 - July 21, 2006

PIPER SANDLER & CO.

CRD#: 665

LAJOLLA, CA

Past

November 13, 1995 - December 22, 2000

SECURITIES RESOLUTION CORPORATION

CRD#: 7119

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

CRD#: 160657 / SEC#: 801-110370

RIA

Registered Investment Advisory firm - (4/24/2017 Approved)

California

Registered Investment Advisory firm - (5/28/2017 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/16/2012)

IAR

Texas
(10/16/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/9/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/8/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 5/6/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/19/1995

General Securities Representative Examination

Current Firm

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

CRD#: 160657 / SEC#: 801-110370

RIA

Registered Investment Advisory firm - (4/24/2017 Approved)

California

Registered Investment Advisory firm - (5/28/2017 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2017 Terminated)

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Contact information

Main Address

5531 Cancha De Golf Suite #105, Rancho Santa Fe, CA 92091

Mailing Address

Phone number

(888) 500-9267

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TATE ASSET MANAGEMENT ADV PART 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts	624
AUM (Assets Under Management)	$ 322,995,213

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Daniel C. Osgood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Craig Osgood's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVANCED PRACTICE ADVISORS, LLC

FINANCIAL ADVISERS OF AMERICA, LLC

CONCERT WEALTH MANAGEMENT

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PIPER SANDLER & CO.

PIPER SANDLER & CO.

SECURITIES RESOLUTION CORPORATION

Primary Firm SEC Registration

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

State Registrations and Notice Filings

Exams

Series 66

Date: 3/9/2001

Series 63

Date: 1/8/1996

Series 31

Date: 5/6/2004

Series 7

Date: 12/19/1995

Current Firm

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

TRUST BUT VERIFY

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