Osaic Institutions, Inc.

Broker-DealerFINRA Member

Total AUM

$6.5B

Discretionary

$4.1B

63% of AUM

Accounts

11,892

Employees

1,839

Advisory reps

727

Brokerage reps

604

Firm details

Headquarters: Meriden, Connecticut
CRD number: 35371
Registered since: November 2, 2006
Website: osaic.com
Custodians: PERSHING LLC
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: Individuals69.12%
Charitable Organizations13.3%
Corporations / Businesses11.59%
HNWI5.99%
Services: Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Osaic Institutions, Inc. is a corporation that operates as a bank-classified broker-dealer and insurance broker while also providing advisory services. The firm is registered with the SEC (initial registration year 2006). Ownership is held by domestic entities and individuals. Its client mix includes both individual and family clients as well as institutional accounts. The firm offers a blend of brokerage and advisory capabilities: financial planning, portfolio management for individuals and small businesses, pension consulting support, manager selection, and educational seminars. Fee arrangements include percentage-of-AUM billing alongside hourly and fixed-fee engagements. Osaic Institutions reports being an active ESG investor and does not function as a capital allocator.