About Oswald Financial

We Are OFI

Whether you are a large corporation, small business or individual seeking to attain retirement readiness goals, we earn our reputation by providing the guidance and the results-driven strategies that aim to grow and preserve your financial assets. For us, it’s about building relationships and offering progressive customized solutions with heightened best practices and investment due diligence, access to open-architecture plan design options, independent vendor search and benchmarking, comprehensive solutions, and high-quality service and communication. We are focused on the future.

The Value of Independence

Being an independent firm, Oswald Financial, Inc. has complete flexibility in helping our clients choose the providers that best suit their needs. We have no obligations to any investment products and are not bound by any proprietary requirements. Our independence allows us to focus solely on servicing YOU and supporting you in your specific goals.


The advisors at OFI are a part of LPL Financial and Global Retirement Partners, networks of retirement plan consulting and wealth management focused advisors. With robust support, tools and services, we are equipped to deliver a compelling value proposition.

Our Commitment

As a fiduciary, it is hard to keep a grasp on updated regulations and legislation. Our professional team’s knowledge will allow you to focus on your core business while we help you offer the most competitive retirement package to your employees.

Our Mission

We are committed to caring for our clients’ and employees’ needs, today and tomorrow.

Our Team

Oswald Financial, Inc. is a team of fully-licensed professionals with over 100 years of combined experience in the retirement plan industry, having achieved reputable designations such as Accredited Investment Fiduciary™, Chartered Retirement Plan Specialist, Certified Public Accountant and Masters of Business Administration.

Our Process

We are here to comprehensively support you.

Services include:
  • Fiduciary Vault
  • 3(21), 3(38)
  • Investment Monitoring
  • Investment Recommendations
  • 404(c) Assistance
  • QDIA Assistance
Services include:
  • Plan Design Benchmarking
  • Plan Design Optimization Reporting
  • Design for Retirement Readiness
  • Behavioral Finance Audit
  • Executive Benefits
  • Non-Qualified Plans
Services include:
  • Plan Search Support
  • Vendor Analysis
  • Plan Data Comparisons
  • Fee Transparency
  • Expense Transparency
  • Plan Sponsor Industry Reports
Services include:
  • Benchmarking Services
  • Annual Disclosures
  • Fee Comparison
  • Analysis & Evaluation
  • Expense Analyzer Tool
Services include:
  • Participant Education
  • Participant Engagement Services
  • Education Specialist
  • Worksite Financial Solutions
  • Education Plans
  • Financial Wellness
Services include:
  • Performance Reports
  • IPS
  • Meeting Minutes
  • Investment Monitoring
  • Legislative Updates