About Oswald Financial, Inc.
<p>Founded in 2022, Oswald Financial, Inc. is an SEC-registered investment adviser based in Cleveland in Northeast Ohio. The firm has 4 employees and works with plan sponsors and individuals on retirement planning and ongoing investment advice.</p> <p>For employers, Oswald Financial focuses on retirement plan fiduciary support, including 3(21) co-fiduciary guidance and 3(38) investment manager services. The team also handles plan consulting, employee education, workplace financial wellness, and support for defined benefit plans.</p> <p>On the individual side, the firm provides wealth management and financial planning tied to personal goals. A key differentiator is its workplace financial wellness offering, including student loan repayment benefits, alongside retirement plan services.</p> <p>Oswald Financial reported $3.5B in assets under management as of 2026 and is affiliated with The Oswald Companies.</p> <ul> <li>3(21) fiduciary services for plan sponsors</li> <li>3(38) investment manager services</li> <li>Defined benefit plan support</li> <li>Employee education and workplace financial wellness programs</li> <li>Wealth management and financial planning for individuals</li> </ul>
Website: https://www.oswaldfinancial.com/
Founded: 2022
Employees: 4
Office Locations
- Clevland, OH (Headquarters)
- Clevland, OH (Headquarters)
Services Offered
- 3(21) Investment Advisor
- 3(38) Investment Manager
Client Statistics (2026)
- Total Clients: 0
- Total AUM: $3.5B