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OSAIC INSTITUTIONS, INC.
CRD 35371File 801-67242
APPROVED
Retail clients
Disclosure events
Filing as of Aug 18, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$6.49B
Top 25% of cohort (national)
Discretionary AUM
$4.11B
Non-discretionary $2.39B
Clients
16,312
11,892 accounts
Employees
1,839
Top 25% of cohort in CT
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Nov 2, 2006
- Principal office
- 538 PRESTON AVENUE, MERIDEN, CT, 06450-4858
- Phone
- 203-599-6000
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $6.49B
- Discretionary AUM
- $4.11B
- Non-discretionary AUM
- $2.39B
- Discretionary accounts
- 8,436
- Non-discretionary accounts
- 3,456
- Total accounts
- 11,892
- AUM per client
- $398K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 255 | $752.7M |
| Charitable organizations | 259 | $863.9M |
| High net worth individuals | 37 | $389.0M |
| Individuals (other than high net worth individuals) | 15,761 | $4.49B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C1
- Q11C2
- Q11C4
- Q11C5
- Q11D1
- Q11D2
- Q11D3
- Q11D4
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 630 | 1,839 | increased by1,209 |
| Apr 1, 2026 | Clients | 7,211 | 16,312 | increased by9,101 |
| Apr 1, 2026 | AUM | $4,024,448,971 | $6,494,001,878 | increased by$2,469,552,907 |
| Apr 1, 2026 | Accounts | 8,779 | 11,892 | increased by3,113 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 775 | 630 | decreased by145 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 7,488 | 7,211 | decreased by277 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $2,834,724,156 | $4,024,448,971 | increased by$1,189,724,815 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 9,010 | 8,779 | decreased by231 |
| Apr 1, 2022 | Employees | 803 | 775 | decreased by28 |
| Apr 1, 2022 | Clients | 6,832 | 7,488 | increased by656 |
| Apr 1, 2022 | AUM | $2,547,078,827 | $2,834,724,156 | increased by$287,645,329 |
| Apr 1, 2022 | Accounts | 8,349 | 9,010 | increased by661 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “OSAIC INSTITUTIONS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“OSAIC INSTITUTIONS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.