# Oswald Financial, Inc.
Source: https://planprovider.pro/provider/oswald-financial-inc

> 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…

Retirement Plan Advisor

Clevland, OH

## 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/](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

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