Oshima & Associates

RIAState Registered
Total AUM
$5.5M
Discretionary
$4M
73% of AUM
Avg account
$367K
Accounts
15
Employees
1
Advisory reps
1

Firm details

Headquarters
Boston, Massachusetts
CRD number
10370
Registered since
September 30, 2024
Fee structure
Percentage of AUM, Hourly Charges, Commissions
Client types
  • Individuals100%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Oshima & Associates operates as a sole proprietorship and positions itself as an independent registered investment adviser serving individual and family clients. The firm combines financial planning and portfolio management for individuals and small businesses with activities as a registered representative of a broker-dealer, which suggests it can deliver both advisory and brokerage solutions depending on client needs. Its fees include AUM-based charges, hourly billing and commissions, indicating flexibility in engagement models and the ability to accommodate both ongoing advisory relationships and transactional work. The adviser is state-registered in Massachusetts and organized around a single individual owner. It does not present itself as a large multi-state or institutional allocator; client focus and service set are oriented toward private households and small-business owners rather than pensions or institutional mandates.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 48%, Cash & Cash Equivalents 42%, Public Funds/Mutual Funds 10%48%
  • Exchange Traded Equities48%
  • Cash & Cash Equivalents42%
  • Public Funds/Mutual Funds10%

Contacts

1 of 1
  • Harold Oshima

    PresidentCRD 729355

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

Boston, MA

Suffolk

Location

Boston, MA

Headquartered in Boston, MA, anchoring the Boston-Worcester-Providence, MA-RI-NH-CT metro in the Northeast.

Metro area
Boston-Worcester-Providence, MA-RI-NH-CT
Region
Northeast
County
Suffolk
Address
21 Merchants Row
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth