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OSAIC INSTITUTIONS, INC.
CRD 35371 · SEC 801-67242
538 PRESTON AVENUE, MERIDEN, CT, 06450-4858, United States
Phone
203-599-6000
Fax
203-599-6001
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$6.49B
Discretionary AUM
$4.11B
Team
1839 total employees; 478 advisory reps; 7 broker-dealer reps
Clients
1-10
Fees
Percentage of AUM; Hourly charges; Fixed fees
Org form
Corporation
Filing date
2026-05-28
Disciplinary history
Yes
Services
Financial planningPortfolio management (individuals)Pension consultingSelection of other advisersEducational seminarsSOLICITATION SERVICES FOR OTHER ADVISERS
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 15761 | $4.49B |
| High net worth individuals | 37 | $389.0M |
| Charitable organizations | 259 | $863.9M |
| Corporations/business entities | 255 | $752.7M |
States served
VT, AL, AK, AZ, AR, CA, CO, DE, DC, GA, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MT, NE, NV, NJ, NM, NY, NC, ND, OH, OK, OR, PA, PR, RI, SC, TN, UT, VA, WV, WI, WY, VI, MO, WA, TX, NH, HI, CT, FL, SD
All web addresses on file
Official SEC filing: View on IAPD