SEC-registered wealth management firm Broker-dealer affiliated
Osaic Institutions, Inc.
As of its Form ADV filed August 18, 2026, Osaic Institutions, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Meriden, Connecticut, reported $6.5 billion in regulatory assets under management across 11,892 accounts, ranking #6 among all wealth firms in Connecticut by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 35371
- SEC file number
- 801-67242
- Registered since
- November 2, 2006
- Latest Form ADV filing
- August 18, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 621
Key figures
- Regulatory assets under management
- $6.5 billion
- Discretionary
- $4.1 billion (63.2%)
- Non-discretionary
- $2.4 billion
- Accounts
- 11,892 (8,436 discretionary)
- Clients
- 16,319, approximate as reported
- Employees
- 1,839
- Advisory staff
- 478 performing investment advisory functions
- Average account
- $546,082
- Asset growth, 1 year
- 61.4% (from $4.0 billion a year earlier)
- Asset growth, 3-year annual rate
- 32.1% (from $2.8 billion three years earlier)
- Asset growth, 5-year annual rate
- 20.6% (from $2.5 billion five years earlier)
- Client growth, 1 year
- 125.9% (from 7,224)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $187.6 million |
| October 3, 2011 | $311.4 million |
| October 1, 2012 | $370.6 million |
| October 1, 2013 | $458.1 million |
| October 1, 2014 | $727.2 million |
| October 1, 2015 | $790.1 million |
| October 3, 2016 | $579.9 million |
| October 2, 2017 | $849.8 million |
| October 1, 2018 | $1.1 billion |
| October 1, 2019 | $1.4 billion |
| October 1, 2020 | $1.7 billion |
| October 4, 2021 | $2.5 billion |
| October 3, 2022 | $2.8 billion |
| October 5, 2023 | $2.8 billion |
| October 1, 2024 | $3.6 billion |
| September 2, 2025 | $4.0 billion |
| October 2, 2026 | $6.5 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 15,761 clients | $4.5 billion | |
| Charitable organizations 259 clients | $863.9 million | |
| Corporations or other businesses 255 clients | $752.7 million | |
| High net worth individuals 37 clients | $389.0 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Pension consulting
- Selection of other advisers
- Educational seminars or workshops
- Other
Financial planning clients (Item 5.H): 1-10.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Trust company
- Insurance company or agency
- Pension consultant
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 547
- Also registered through a broker-dealer
- 540
- Employees who are IARs (Form ADV 5.B(3))
- 478
Designations held by the firm's IARs: CFP 55, ChFC 15, CFA 2, PFS 1.
Between 70 and 210 of the firm's 547 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 9 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Connecticut
| Firm | City | RAUM |
|---|---|---|
| Chilton Investment Services, LLC | Stamford | $8.2 billion |
| Coastal Bridge Advisors | Westport | $5.0 billion |
| Northcoast Asset Management LLC | Stamford | $5.0 billion |
| Connecticut Wealth Management, LLC | Farmington | $4.5 billion |
| Essex Financial Services, Inc. | Essex | $4.2 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Osaic Institutions, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: osaic.com/institutions
- Wealth management firms in Connecticut
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.