OSAIC INSTITUTIONS, INC.
Latest filing: Mar 31, 2025 (124 days ago)
AUM
$4,024,448,971
11% change vs. 1 year ago
42% change vs. 3 years ago
136% change vs. 5 years ago
409% change vs. 10 years ago
Employee Count
630
-13% change vs. 1 year ago
-19% change vs. 3 years ago
-27% change vs. 5 years ago
5% change vs. 10 years ago
Main Office
MERIDEN, CT
538 PRESTON AVENUE, MERIDEN, CT, UNITED STATES, 06450-4858
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $1.1 |
| Non-Discretionary | $2.9 |
| Total | $4.0 |
| Client | AUM |
|---|---|
| Retail | $2.7 |
| Pooled | $0.0 |
| Institutional | $1.3 |
| Total | $4.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 6,917 | $2.6 |
| Average Individual AUM | $374,152 | |
| HNW | 15 | $0.1 |
| Average HNW AUM | $7,923,382 | |
| Retail Total | 6,932 | $2.7 |
| Average Retail AUM | $390,488 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| PERSHING LLC | JERSEY CITY-NJ-USA | $3.6 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $4.0 |
| Retail SMA AUM | $2.7 |
| Institutional SMA AUM | $1.3 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 62% | $2.5 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 5% | $0.2 |
| Municipal | 18% | $0.7 |
| Sovereign | 0% | $0.0 |
| IG Credit | 3% | $0.1 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 10% | $0.4 |
| Other Pools | 0% | $0.0 |
| Cash | 1% | $0.0 |
| Other | 1% | $0.0 |
| Total | 100% | $4.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Control Persons
14 active
| Name | Title |
|---|---|
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR |
| COONEY, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER |
| GOZ, MARGARET C | EXECUTIVE VICE PRESIDENT, CFO & TREASURER |
| KOTH, JOHN MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT |
| CORNICK, GREGORY ALLEN | DIRECTOR |
| PRICE, JAMES DALE | CHAIRMAN |
| HODGE, TIMOTHY ROBERT | CHIEF OPERATIONS OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
507 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ADAM BATCHELOR | MERIDEN | CT | S66|2018-09-06 | ||||||
| MAXX SOULLIERE | MERIDEN | CT | S66|2022-05-05 | ||||||
| NELSON PERSON | MERIDEN | CT | S66|2008-04-28 | ||||||
| BRIAN FLANAGAN | MERIDEN | CT | S66|2024-01-12 | ||||||
| BARRY TESTA | MERIDEN | CT | S66|2022-12-02 | ||||||
| JOSE DA SILVA | MERIDEN | CT | S66|2018-11-30|S63|2018-03-23 | ||||||
| MARK GANUNG | MERIDEN | CT | S63|1986-05-02|S65|1997-04-01 | ||||||
| JASON PERSINGER | MERIDEN | CT | S63|2001-11-14|S65|2002-05-10|S66|2007-11-02 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL CONSULTANT | |||||
| RICHARD LABRIOLA | MERIDEN | CT | S63|2010-02-24|S66|2014-07-19 | CERTIFIED FINANCIAL PLANNER | |||||
| JOHN QUIGGLE | MERIDEN | CT | S63|2006-07-14|S65|2008-06-23 | ||||||
| ENOCH ARNETT | MERIDEN | CT | S63|2005-08-26|S66|2014-07-10 | ||||||
| CAROL MAYER | MERIDEN | CT | S63|2013-09-19|S66|2016-05-26 | ||||||
| DEREK MALONE | MERIDEN | CT | S66|2008-07-30 | ||||||
| FERMIN MESINA | MERIDEN | CT | S66|2003-02-28 | ||||||
| ELIZABETH NEWCOMBE | MERIDEN | CT | S66|2018-02-09|S63|2017-06-09 | ||||||
| CHRISTENE MCNEW | MERIDEN | CT | S63|2017-07-27|S66|2019-09-16 | ||||||
| ZENAIDA ORDUNA | MERIDEN | CT | S66|2012-09-10 | ||||||
| IRMA STATHIS | MERIDEN | CT | S63|2014-08-25|S66|2019-02-12 | ||||||
| DOUGLAS GEORGE | MERIDEN | CT | S63|1994-11-23|S65|1999-12-06 | ||||||
| NICHOLAS SCHMITT | MERIDEN | CT | S63|1996-05-20|S66|2003-11-10 | CHARTERED FINANCIAL CONSULTANT | |||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $4.0 | $0.0 | 0% | 630 | 0 | 0% |
| 2025-04-21 | $4.0 | $0.0 | 0% | 630 | 0 | 0% |
| 2024-04-02 | $3.6 | $0.4 | 11% | 722 | -92 | -13% |
| 2023-04-04 | $2.8 | $1.2 | 43% | 764 | -134 | -18% |
| 2022-04-01 | $2.8 | $1.2 | 42% | 775 | -145 | -19% |
| 2021-04-05 | $2.5 | $1.5 | 58% | 803 | -173 | -22% |
| 2020-04-01 | $1.7 | $2.3 | 136% | 860 | -230 | -27% |
| 2019-04-01 | $1.4 | $2.7 | 197% | 867 | -237 | -27% |
| 2018-04-02 | $1.1 | $3.0 | 278% | 850 | -220 | -26% |
| 2017-04-01 | $1.2 | $2.8 | 238% | 850 | -220 | -26% |
| 2016-04-01 | $0.6 | $3.4 | 594% | 620 | 10 | 2% |
| 2015-04-01 | $0.8 | $3.2 | 409% | 600 | 30 | 5% |
| 2014-04-01 | $0.7 | $3.3 | 453% | 560 | 70 | 12% |
| 2013-04-01 | $0.5 | $3.6 | 778% | 460 | 170 | 37% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CT, AK-03/04/2010, AL-01/17/2007, AR-06/06/2013, AZ-09/13/2007, CA-03/04/2010, CO-09/13/2007, CT-11/14/2006, DC-03/04/2010, DE-03/08/2010, FL-11/15/2006, GA-03/04/2010, HI-03/04/2010, IA-07/26/2018, ID-03/04/2010, IL-01/17/2008, IN-11/14/2006, KS-01/05/2016, KY-09/13/2007, LA-03/04/2010, MA-11/14/2006, MD-01/07/2008, ME-11/14/2006, MI-11/14/2006, MN-03/04/2010, MO-03/04/2010, MS-08/26/2011, MT-03/30/2020, NC-01/07/2008, ND-03/04/2010, NE-03/04/2010, NH-11/14/2006, NJ-11/20/2006, NM-03/04/2010, NV-03/04/2010, NY-11/14/2006, OH-11/14/2006, OK-03/31/2014, OR-03/04/2010, PA-11/14/2006, PR-01/14/2015, RI-11/14/2006, SC-03/04/2010, SD-03/30/2020, TN-01/08/2008, TX-09/13/2007, UT-09/13/2007, VA-07/20/2007, VI-01/03/2017, VT-09/13/2007, WA-09/13/2007, WI-11/18/2009, WV-04/10/2007, WY-03/30/2020 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV