Marketplace preview · For Osaic
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Alts infrastructure for Osaic.
An end-to-end advisor workflow — your branded marketplace, your home-office compliance forms, your supervisory review, your clearing destinations. Pre-built. Re-skinned in your evergreen.
Alts ops at a home office shouldn't take a ticket.
In every independent BD we've audited, the alts workflow runs through email, PDFs, and operations queues. Every step is a chance to lose data, miss a Reg BI box, or chase a principal signature. The home office absorbs the cost.
The ticket queue alts workflow.
One operating layer, end-to-end.
An operating layer for alts that fits inside Osaic's stack.
Aqua sits between your existing advisor portal and your existing back office. Osaic's 11,000+ financial professionals stay in the environment they know. Your clearing firm, vault, and 17a-4 archive are the destinations — Aqua doesn't replace them, it routes to them.
What Osaic advisors see.
What Aqua handles for you.
One tile in Osaic's portal. Same advisor session.
SSO from Osaic's existing advisor portal. No new credentials, no new account management, no IT lift. Click the highlighted button below to see the flow.
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Buy
Trigger. Advisor clicks the "Alts" tile in Osaic's existing advisor portal — or any other entry point Osaic configures.
Mechanic. SSO carries the session. Aqua provisions the rep on first sign-in, retains entitlements, and respects Osaic's role / book-of-business / branch rules across all 11,000+ financial professionals.
For Osaic's home office. No new account management. No IT lift on the advisor side. The marketplace feels like a continuation of the Osaic experience.
Plug-and-play activation
Identity inherits from Osaic's existing IdP. No new account provisioning, no IT lift, no new credentials for any of Osaic's 11,000+ reps.
The marketplace — Osaic's approved list.
The Buy view. Every fund Osaic's home office has approved, on one shelf. Click any tab to switch panels, or click the Begin dropdown on the highlighted card to see the three entry paths.
Buy
My Favorites
Security Type
Sponsor
Maintenance
Explore
What's shown. Six representative tiles. The Osaic launch shelf typically holds 30–50 funds; configurable to whatever your diligence team approves.
Every card. Sponsor · fund name · security type · single Begin CTA — and a dropdown for "Start Purchase" vs "View Materials" vs "View Overview."
For Osaic. Same UX for every product, regardless of issuer size. Boutique funds and the largest issuers ride the same workflow.
One pane of glass
No second portal, no email-attached PPM. The Begin button kicks off the same workflow on every fund — Phase 1 ships exactly this view, restyled in Osaic evergreen.
Add asset classes by flipping a switch.
Osaic's home office diligence team owns the approved list end-to-end. Click the BDC toggle on the left — every approved-platform BDC becomes available instantly across all 11,000+ Osaic advisors.
Security Type
Sponsor
Approved · 3 funds
Trigger. Osaic's diligence team approves a fund category (e.g. BDCs). One toggle in admin.
Mechanic. Most products are already on the platform — Aqua administers a large share of the active BDC and DST market today.
For Osaic. Tight diligence control, instant expansion. The marketplace grows without engineering tickets.
Reg BI alignment, by design
The approved list IS the supervisory shelf. Osaic reps cannot transact in anything outside it. Diligence control = compliance evidence at the same time.
Every PPM sent. Logged as an order.
Sponsor PPMs, fact sheets, quarterly reports — all live in the data room. Click "Send Materials" to fire a logged audit-trail event in real time.
Filter by Type
MERIDIAN STUDENT HOUSING DST
Housing DST
| Order # | Date Sent | Unique ID | Sponsor | Product | Recipient | ||
|---|---|---|---|---|---|---|---|
| 1815 | 02/22/2026 11:39 AM | osaic-... | Meridian Capital Partners | Meridian Student Housing DST | John Doe | investor1@example.com | Sent |
| 1814 | 02/21/2026 08:41 PM | osaic-... | Meridian Capital Partners | Meridian Student Housing DST | John Doe | investor1@example.com | Sent |
| 1796 | 02/15/2026 03:12 PM | osaic-... | Harbor Stone Partners | Harbor Stone Direct Lending Fund | Jane Adams | jadams@example.com | Sent |
Sponsor side. Fund managers upload anything they want — PPMs, fact sheets, decks, historicals, quarterly reports. Aqua tracks who opens what.
Advisor side. "Send Materials" mails the docs directly to a client or prospect, with a secure link. No off-platform attachments.
For Osaic. Every send is a separate logged order — its own audit row, its own unique ID, exportable for 17a-4 / Reg BI evidence.
Compliance evidence as a byproduct
Most BDs reconstruct PPM-send evidence from email after the fact. Aqua makes the system of record the byproduct of normal advisor work.
Conditional logic prevents NIGOs.
Subscription forms auto-populate from Osaic's CRM. Rep ID, Firm CRD, and Firm Type are first-class fields. Edit the Purchase Amount below to see the conditional warning fire and clear in real time.
Rep & Soliciting Advisor
Custodial Arrangement
Purchase Type & Amount
Auto-population. Investor account, Rep ID, Firm CRD (23131), custodian, and KYC details flow from Osaic's CRM — advisor doesn't re-type.
BD-aware fields. Rep ID, Firm CRD, Firm Type ("Broker Dealer") are first-class. Aqua isn't a TAMP retrofit — it ships understanding broker-dealer regulation.
Conditional logic. Aqua holds a unique data model per product. Wrong amount, wrong share class, wrong tax ID — the form catches it before the advisor moves on.
NIGO elimination at input
Email-based subscription workflows convert input errors into rework loops. In-platform validation closes the loop at the source.
Osaic's compliance forms — layered onto every sponsor flow.
As the rep fills out the order, Aqua generates the right forms automatically. Form CRS, Reg BI, accredited investor verification, alternative-investment disclosure — all Osaic's home office forms appear alongside the sponsor's questionnaire and the W-9. Per fund: zero custom build.
Investment Information Form
Forms Completed: 1 / 7
The pattern. The forms list starts at 3. As the rep enters info, Aqua expands the list to 7, adding Osaic's house compliance forms automatically.
What's included. Form CRS · Reg BI · Accredited Investor Verification · Alt-Investment Disclosure · Direct Business Application — all branded as Osaic's, all auto-filled wherever data exists upstream.
For Osaic. Your compliance form library lives once. Layered on every sponsor's flow. Per fund: zero custom build.
The Reg BI gift
Form CRS and Reg BI documentation are FINRA / SEC mandates. Aqua makes them part of the order, not a separate compliance project.
Five steps. Principal review, native.
Every order moves through the same five-step workflow. Status pills show who has the pen. Principal Signature is a native order status — not an afterthought.
Order Information
Single source of truth. Investor, advisor, KYC docs, fund admin, custodian, current stage, supervisory state — one page. Status pills show who has the pen.
Principal review, native. Once forms are signed, the order moves to "Osaic Principal Signature" automatically. Your principals see a queue of orders awaiting review — not an inbox of forwarded PDFs.
BD-aware audit. Firm CRD (23131), Firm Type, Rep Name + Number are on every order's record panel. 17a-4 record-keeping is automatic.
One page of record per order
Compliance, advisor, principal, and ops see the same view. The email + spreadsheet patchwork of conventional alts ops is replaced by a single workflow tracker.
One signed package. Routed everywhere it belongs.
When the order completes, the final document package flows automatically. Osaic's internal vault, your clearing firm, the fund admin / TA, and your 17a-4 archive all get the same canonical package.
Final document package
- Signed subscription agreement
- Investor information form
- Substitute W-9 / tax certification
- Form CRS + Reg BI documentation
- KYC documents (ID + accreditation)
- Trade ticket · $350,000 initial
on completion
Trigger. Order moves to "Complete" — all signatures gathered, principal review cleared, all docs validated.
Mechanic. Aqua pushes the finished package to every destination Osaic configures.
For Osaic. The internal vault becomes the canonical source. The annual FINRA exam answer to "show me the records" is a query, not a project.
Configurable destination routing
Aqua integrates with whatever data vault, clearing firm, and 17a-4 archive Osaic uses. Config, not custom build.
The math on day 90.
Three numbers we'd expect Osaic to see ~90 days after launch. Conservative; we'd want to refine these against your actual sponsor mix, ops baseline, and rep volume.
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Three doors in — pick the one that matches where you are.
See Osaic reps in it.
hello@investwithaqua.com
Send the pack.
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Book the call.
partnerships@investwithaqua.com