Osaic Institutions, Inc.

Broker-DealerFINRA MemberEst. 2006

Total AUM

$6.5B

Discretionary

$4.1B

63% of AUM

Accounts

11,892

Employees

1,839

Advisory reps

728

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. operates as a corporate broker-dealer and insurance broker that serves both individual/family clients and institutional accounts. The firm provides advisory and educational services including financial planning, portfolio management for individuals and small businesses, pension consulting support, selection of third‑party advisers, and seminars or workshops. Its fee arrangements include percentage‑of‑AUM, hourly charges, and fixed fees. The firm is registered with the SEC and identified as an active ESG investor. While it is not classified primarily as a capital allocator, its listed industry affiliations note roles that include sponsor, general partner, or managing member of pooled investment vehicles, and it engages with trust companies and insurance firms.