Osaic Institutions, Inc.

Registered investment adviser · Meriden, CT · CRD #35371

Form ADV data as of 2026-09-01

Regulatory assets

$6.49 billion

Total accounts

11,892

Employees

1,839

Disclosure events

Firm details

Website: https://www.linkedin.com/company/osaicinc/
Telephone: 203-599-6000
SEC file number: 801-67242
Most recent Form ADV filing: 2026-08-18
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 9 disclosure questions answered Yes, covering 19 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator found a violation of investment-related regulations or statutes
Another regulator found the firm caused a business to lose or have its authorization restricted
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$4.11 billion
Non-discretionary regulatory assets under management	$2.39 billion
Total regulatory assets under management	$6.49 billion
Discretionary accounts	8,436
Non-discretionary accounts	3,456
Total accounts	11,892
Regulatory assets under management attributable to non-U.S. persons	$7.4 million

People

Total employees (excluding clerical)	1,839
Employees performing investment advisory functions (including research)	478
Employees who are registered representatives of a broker-dealer	604
Employees registered as investment adviser representatives with a state	478
Employees registered as IARs for another investment adviser	12
Employees who are licensed insurance agents	703
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsOther

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Trust companyInsurance company or agencyPension consultantSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Executes agency cross transactions involving advisory client securities
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	15,761	$4.49 billion
High net worth individuals	37	$389.0 million
Charitable organizations	259	$863.9 million
Corporations or other businesses not listed above	255	$752.7 million