OSAIC INSTITUTIONS, INC.
Latest filing: Sep 11, 2024 (212 days ago)
AUM
$3,626,644,800
0% change vs. 1 year ago
28% change vs. 3 years ago
113% change vs. 5 years ago
359% change vs. 10 years ago
Employee Count
722
0% change vs. 1 year ago
-7% change vs. 3 years ago
-16% change vs. 5 years ago
20% change vs. 10 years ago
Main Office
MERIDEN, CT
538 PRESTON AVENUE, MERIDEN, CT, UNITED STATES, 06450-4858
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $1.0 |
| Non-Discretionary | $2.6 |
| Total | $3.6 |
| Client | AUM |
|---|---|
| Retail | $2.4 |
| Pooled | $0.0 |
| Institutional | $1.3 |
| Total | $3.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 6,785 | $2.1 |
| Average Individual AUM | $315,527 | |
| HNW | 23 | $0.2 |
| Average HNW AUM | $9,679,939 | |
| Retail Total | 6,808 | $2.4 |
| Average Retail AUM | $347,164 |
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 | $3.6 |
| Retail SMA AUM | $2.4 |
| Institutional SMA AUM | $1.3 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 54% | $2.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 3% | $0.1 |
| Municipal | 25% | $0.9 |
| 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 | 5% | $0.2 |
| Other | 1% | $0.0 |
| Total | 101% | $3.7 |
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 | |||||
|---|---|---|---|---|---|---|---|---|---|
| RYAN FINC | MERIDEN | CT | S66|2005-12-22 | ||||||
| BRIAN MAROIS | MERIDEN | CT | S63|2013-03-04|S66|2017-02-23 | ||||||
| ANCA DEHELEAN | MERIDEN | CT | S66|2015-07-16 | ||||||
| STEPHEN KECK | MERIDEN | CT | S66|2012-09-22 | ||||||
| DAVID PIERCE | MERIDEN | CT | S66|2008-05-08 | ||||||
| PAUL LORENZ | MERIDEN | CT | S63|2016-08-09|S65|2017-09-21 | ||||||
| JENNIFER ROWLAND | MERIDEN | CT | S66|2012-08-27 | ||||||
| JOHN KOTH | MERIDEN | CT | S63|1987-10-22|S65|1999-06-28|S66|2023-12-18 | ||||||
| JOSEPH CULOTTA | MERIDEN | CT | S63|2003-08-02|S65|2015-05-02 | ||||||
| BRADLEY PETERSON | MERIDEN | CT | S63|1992-01-06|S66|2003-09-22 | ||||||
| RAHIL MACHIWALLA | MERIDEN | CT | S66|2009-10-21 | ||||||
| DANIEL SUTTON | MERIDEN | CT | S63|1995-10-06|S65|2006-03-30 | ||||||
| PARKER SWART | MERIDEN | CT | S66|2022-12-09 | ||||||
| BRUCE MCCOOK | MERIDEN | CT | S63|1985-08-06|S65|1995-10-24 | ||||||
| WILLIAM HERBERT | MERIDEN | CT | S63|2000-05-09|S66|2017-03-16 | CERTIFIED FINANCIAL PLANNER | |||||
| DAVID YANKEE | MERIDEN | CT | S63|2020-03-16|S66|2023-10-28 | ||||||
| DOUGLAS GEORGE | MERIDEN | CT | S63|1994-11-23|S65|1999-12-06 | ||||||
| ANGELO PICCOLO | MERIDEN | CT | S63|2013-11-23|S65|2018-04-26 | ||||||
| CHRISTOPHER MOEN | MERIDEN | CT | S66|2021-12-31 | ||||||
| CORBIN COUTURE | MERIDEN | CT | S66|2011-05-18 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $3.6 | $0.0 | 0% | 722 | 0 | 0% |
| 2024-04-02 | $3.6 | $0.0 | 0% | 722 | 0 | 0% |
| 2023-04-04 | $2.8 | $0.8 | 29% | 764 | -42 | -5% |
| 2022-04-01 | $2.8 | $0.8 | 28% | 775 | -53 | -7% |
| 2021-04-05 | $2.5 | $1.1 | 42% | 803 | -81 | -10% |
| 2020-04-01 | $1.7 | $1.9 | 113% | 860 | -138 | -16% |
| 2019-04-01 | $1.4 | $2.3 | 168% | 867 | -145 | -17% |
| 2018-04-02 | $1.1 | $2.6 | 241% | 850 | -128 | -15% |
| 2017-04-01 | $1.2 | $2.4 | 204% | 850 | -128 | -15% |
| 2016-04-01 | $0.6 | $3.0 | 525% | 620 | 102 | 16% |
| 2015-04-01 | $0.8 | $2.8 | 359% | 600 | 122 | 20% |
| 2014-04-01 | $0.7 | $2.9 | 399% | 560 | 162 | 29% |
| 2013-04-01 | $0.5 | $3.2 | 692% | 460 | 262 | 57% |
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