Broker-dealer firm · Meriden, CT
Osaic Institutions, Inc.
SEC-registered investment adviser · CRD 35371 · SEC 801-67242
At a glance
Osaic Institutions, Inc. is an SEC-registered investment adviser based in Meriden, Connecticut, with $6.5 billion in regulatory assets under management as of its Form ADV filed August 18, 2026. Its largest client group by assets is individuals, and it reports 15,798 individual clients. By Form ADV it is a broker-dealer firm, ranked 85th of 391 broker-dealer firms and 1,777th of 17,210 SEC-registered advisers by assets.
Main office 203-599-6000osaic.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $6.5B
- Rank among broker-dealer firms
- #85 of 391
- Rank among all SEC RIAs
- #1,777 of 17,210
- Rank in Connecticut
- #77 of 507
- Individual clients
- 15,798
- High-net-worth clients
- 37
- Accounts
- 11,892
- Discretionary
- 63% of AUM
- Employees
- 1,839
- Advisory staff
- 478
- Offices
- 622
Owners and executives on its Form ADV
- Stephen Paul AmarantePresident, CEO and Director
- Matthew Adam SchlueterDirector and Executive Vice President Operations and Technology Solutions
- Gregory Allen CornickDirector
- James Dale PriceChairman
- Dori Jamille HammondChief Compliance Officer
- Christopher Mills MitchellCorporate Treasurer, Financial and Operations Principal
Custody and brokerage
Broker-dealer
Hybrid RIA
Osaic Institutions, Inc. is a hybrid RIA: 604 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Ladenburg Thalmann & Co. Inc., Osaic Services, Inc. and Osaic Wealth, Inc..
- Ladenburg Thalmann & Co. Inc. ↗CRD 505
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
- Osaic Services, Inc. ↗CRD 133763
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
- Osaic Wealth, Inc. ↗CRD 23131
Its Form ADV brochure (filed March 2026) names Osaic Institutions and Osaic Wealth as the broker-dealer its advisers are registered with.
Osaic Institutions’ advisory services are made available to clients primarily through individuals associated with Osaic Institutions as investment adviser representatives (“IARs”).
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 15,761 | $4.5B | 69% |
| Charitable organizations | 259 | $864M | 13% |
| Corporations or other businesses | 255 | $753M | 12% |
| High-net-worth individuals | 37 | $389M | 6% |
Disciplinary disclosures
Osaic Institutions, Inc. answers yes to 19 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗osaic.com ↗
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The full record on Osaic Institutions, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 79 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Osaic Institutions, Inc. manage?
Osaic Institutions, Inc. reports $6.5 billion in regulatory assets under management across 11,892 accounts, 63% of it on a discretionary basis, on its Form ADV filed August 18, 2026.
What kind of firm is Osaic Institutions, Inc.?
Osaic Institutions, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Osaic Institutions, Inc.’s clients?
By assets, its largest client types are individuals ($4.5 billion, 15,761 clients); charitable organizations ($864 million, 259 clients); corporations or other businesses ($753 million, 255 clients).
Does Osaic Institutions, Inc. have any disciplinary history?
Osaic Institutions, Inc. answers yes to 19 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Osaic Institutions, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-18), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →