# Osaic Institutions, Inc.

> Osaic Institutions, Inc. is an SEC-registered investment advisory firm in Meriden, CT, registered since 2006, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 18, 2026.

- CRD: 35371
- Filed as: OSAIC INSTITUTIONS, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Meriden, CT
- Filing period: October 2026
- Form ADV filing dated: August 18, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/35371
- AdvisorCensus page: https://advisorcensus.com/firm/osaic-institutions-inc-meriden-ct-35371

## Quick answers

**How is Osaic Institutions, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Osaic Institutions, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Osaic Institutions, Inc. located?**
Osaic Institutions, Inc.'s principal office is in Meriden, CT, according to its Form ADV; the September 2026 filing also lists 23 other offices (Schedule D, Section 1.F).

**Is Osaic Institutions, Inc. registered with the SEC or a state?**
Osaic Institutions, Inc. is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 35371.

**How much does Osaic Institutions, Inc. manage?**
Osaic Institutions, Inc. reports $6,494,001,878 in regulatory assets under management in its Form ADV filing dated August 18, 2026 (63% discretionary).

**How have Osaic Institutions, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Osaic Institutions, Inc.: Regulatory assets under management: $2,547,078,827 in the October 2021 data and $6,494,001,878 in the October 2026 data, up 155%. Total employees: 803 in October 2021 and 1,839 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Osaic Institutions, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (15,761); charitable organizations (259); corporations or other businesses not listed above (255).

**Which custodians does Osaic Institutions, Inc. use?**
Osaic Institutions, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Osaic Institutions, Inc. report any disciplinary disclosures?**
Reports 9 disclosure items on Form ADV Item 11: yes answers to 9 questions about regulatory matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(3), 11.D(4), 11.E(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/35371

**What changed in Osaic Institutions, Inc.'s recent Form ADV filings?**
In the August 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Pershing LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $6,494,001,878
- Discretionary: $4,105,335,254
- Non-discretionary: $2,388,666,624

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 15,761 | $4,488,472,333 |
| High net worth individuals | 37 | $388,965,852 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 259 | $863,886,939 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 255 | $752,676,754 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other

### Firm details
- Registered since: 2006 (19 years)
- Employees: 1,839 total, 478 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports 9 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(3): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/35371

### Other offices (Schedule D, Section 1.F), as of the September 2026 filing
- Abingdon, VA
- Agawam, MA
- Canton, MA
- Concord, NH
- Ellsworth, ME
- Fargo, ND
- Hanover, NH
- Hyannis, MA
- Macon, MO
- Meridan, CT
- Meridian, ID
- Mystic, CT
- New York, NY
- Newtown, CT
- Overland Park, KS
- Pittsburgh, PA
- Ravenna, OH
- Ridgefield, CT
- South Windsor, CT
- Southington, CT
- Springfield, IL
- St Paul, MN
- Valdosta, GA

### Websites listed on Form ADV (Item 1.I)
- osaic.com/institutions
- Facebook @OsaicInc
- Instagram @osaic_inc
- LinkedIn @osaicinc
- X @osaic_inc
- YouTube @Osaicinc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $2,547,078,827 | 803 | July 13, 2021 |
| October 2022 | $2,834,724,156 | 775 | May 19, 2022 |
| October 2023 | $2,814,653,668 | 764 | August 14, 2023 |
| October 2024 | $3,626,644,800 | 722 | September 11, 2024 |
| October 2025 | $4,024,448,971 | 630 | July 16, 2025 |
| October 2026 | $6,494,001,878 | 1,839 | August 18, 2026 |

Regulatory assets under management: $2,547,078,827 in the October 2021 data and $6,494,001,878 in the October 2026 data, up 155%.
Total employees: 803 in October 2021 and 1,839 in October 2026.

## Changes in the filing (last 12 months)

### August 2026
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Its Item 11 disclosure answers changed.
- Employees performing advisory functions went from 446 to 478.
- Regulatory assets under management went from $4,024,448,971 to $6,494,001,878 (+61%).
- Added an office in Concord, NH.
- Added an office in Fargo, ND.
- Added an office in Hyannis, MA.
- Added an office in Meridian, ID.
- Added an office in Mystic, CT.
- Added an office in Overland Park, KS.
- Added an office in Ravenna, OH.
- No longer lists an office in Kansas City, KS.
- No longer lists an office in Lapeer, MI.
- No longer lists an office in Newport Beach, CA.
- No longer lists an office in Sparta, MI.
- No longer lists an office in The Villages, FL.
- No longer lists an office in Virginia Beach, VA.
- No longer lists an office in Watertown, CT.

### November 2025
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Osaic Institutions, Inc. (CRD 35371): Form ADV filing data as of October 2026.