OSSIA IM

MIAMI, FL · CRD 329936 · IAPD ↗ · 305-923-7212

$52.0MRegulatory AUM

1Advisory reps

1Employees

0Clients

n/aPlanning clients

0Private funds

1States

0Disclosures

wealthSegment

120-Day ApprovalSEC status

Filing changes

March 2025 — OSSIA IM (MIAMI, FL) left the SEC roster — its 120-day provisional registration did not convert (was $52.0M RAUM, 1 reps).

Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.

Recruiting & transitionsM&A & valuation

September 2024 — OSSIA IM now reports custody of client assets.

Firm now reports custody of client assets — surprise exams and controls follow.

ComplianceCustodian

March 2024 — OSSIA IM (MIAMI, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.

Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).

CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.