# Omega Financial Investments & Insurance

Omega Financial Investments & Insurance is an Asset Manager.

## Overview

- **Organization type:** Asset Manager
- **Assets under management:** Undisclosed

## Regulatory record

- **CRD number:** 125381
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/125381

## About

OMEGA FINANCIAL INVESTMENTS & INSURANCE is a state-registered investment adviser in KIRKLAND, WA. The firm manages approximately $71 million in regulatory assets. It has 6 employees and 2 investment advisers.

## Questions

### Is Omega Financial structured as an RIA, an insurance broker, or both?

Omega operates with a dual structure, common among independent financial advisors. The advisory side functions as a registered investment advisor (RIA) where it owes a fiduciary duty to clients on managed assets. Simultaneously, the insurance arm acts as a broker, under a suitability standard, selling proprietary and third-party insurance products. This dual role is disclosed in Form ADV and client agreements.

### What investment strategies does Omega Financial typically employ?

The firm constructs portfolios that blend traditional securities with insurance products. It uses managed equity and fixed-income accounts for growth and income, then layers in permanent life insurance or annuities for tax deferral and estate planning. Common applications include premium-financed life insurance for business owners and IRA-to-annuity rollovers for retirees seeking guaranteed income floors.

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Last updated: 2026-06-03T20:00:00.000Z

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