DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Osaic Institutions, Inc.
Latest filing Aug 18, 2026
First filing on the tape Mar 7, 2012 · 74 filings
SEC status approved since Nov 2, 2006
RAUM
$6.5B
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
75%
$4.9B individuals and HNW
Advisors
544
registered through the firm on IAPD
RAUM per advisor
$11.9M
derived; firm RAUM over IAPD count
Employees
1,839
478 advisory (5.B.1)
Offices
621
beyond the principal office
Private funds
0
reported on Schedule D
History
74 filings and snapshots on the tape
RAUM$6.5B as of Aug 18, 2026
Mar 7, 2012$371M then
HNW client RAUM$389M as of Aug 18, 2026
Mar 29, 2018$149M then
State-registered IARs (5.B.3)478 as of Aug 18, 2026
Mar 7, 20120 then
Employees (5.A)1,839 as of Aug 18, 2026
Mar 28, 2013460 then
Private funds: no history
RAUM +61% over the last fiscal year+32% a year over threeIARs 446 to 478offices 574 to 621
Practice profile
derived from the filing of Aug 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $11.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.5MderivedHNW RAUM over HNW clients
- Average account
- $546,082derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 63%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.4derivedItem 5.A over advisors
- Advisors per office
- 0.9derived622 offices incl. principal (1.F.5)
- RAUM growth, one year
- +61%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.2%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +128%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $5.0BreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$4.5B69%
- Charitable organizations$864M13%
- Corporations and businesses$753M12%
- High-net-worth individuals$389M6.0%
- Individual clients
- 15,761reported
- HNW clients
- 37reported
- Pension plan clients
- 0reported
- Charitable clients
- 259reported
- Accounts
- 11,892reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.75 fund_share=0.0 institutional_share=0.13 related_bd=true related_bank=false bd_reps=604.0derived
Advisors registered through the firm
532 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Steele Coe | Watertown, Ct | Mar 23, 2000 | 38 y | 0 |
| David Jason Maikowski | Farmington, Ct | Mar 23, 2000 | 33 y | 0 |
| Elyssia Catharyn Poland | Fairfield, Ct | Mar 23, 2000 | 27 y | 0 |
| Robert Russell FradetteCertified Financial Planner, Chartered Financial Consultant | Parrish, Fl | Jun 29, 2000 | 34 y | 0 |
| Gary Lee Jameson | Meriden, Ct | Jun 20, 2001 | 27 y | 0 |
| Matthew Raymond Langis | Meriden, Ct | Sep 24, 2001 | 33 y | 0 |
| Joseph Thomas Mcmahon | Norton, Ma | Apr 5, 2004 | 29 y | 0 |
| Robert David Kusiak | Meriden, Ct | Jan 18, 2005 | 22 y | 0 |
| Sonya Lee Mitchell | Northeast Harbor, Me | Mar 28, 2005 | 25 y | 0 |
| Brian John Allsop | Quincy, Ma | Jun 5, 2006 | 36 y | 0 |
| Paulette Ann RetsinasCertified Financial Planner | Mystic, Ct | Jul 5, 2006 | 38 y | 1 |
| Dennis Paul Juvan | Ravenna, Oh | Aug 17, 2006 | 36 y | 0 |
| Curtis Christopher Jones | Woburn, Ma | Sep 6, 2006 | 25 y | 2 |
| Kevin Euripides MckinnonCertified Financial Planner | Salem, Nh | Oct 18, 2006 | 28 y | 1 |
| John Allen Kuehnle | Milford, Ct | Jan 23, 2007 | 25 y | 1 |
| Peter Jon Fredericksen | Canton, Ma | Apr 30, 2007 | 20 y | 2 |
| Andrew Christopher Patrick | Wildwood, Fl | May 1, 2007 | 28 y | 2 |
| John Lester Pigeon | Fall River, Ma | Dec 3, 2007 | 31 y | 3 |
| Ronald Lee Hamilton | Blue Hill, Me | Mar 5, 2008 | 24 y | 1 |
| Matthew Roland OuelletteCertified Financial Planner | South Berwick, Me | May 21, 2008 | 26 y | 0 |
| Larry Gene Straley | Greenville, Va | Jun 1, 2008 | 39 y | 1 |
| Neal Alton Tarbox | Rockingham, Va | Jun 1, 2008 | 33 y | 2 |
| Michael Brendon Cook | Meriden, Ct | Jun 1, 2008 | 26 y | 1 |
| Jennifer Marie Campbell | Meriden, Ct | Jun 6, 2008 | 21 y | 0 |
| Christopher Scott Jennings | Virginia Beach, Va | Sep 8, 2008 | 22 y | 3 |
| Kevin Paul Mancini | Meriden, Ct | Oct 29, 2008 | 26 y | 0 |
| Marc David Hanneman | Austinburg, Oh | May 28, 2009 | 27 y | 2 |
| Nelson Noren EhingerCertified Financial Planner | Ridgefield, Ct | Sep 8, 2009 | 38 y | 0 |
| Paul Charles Hill Jr | Waltham, Ma | Oct 29, 2009 | 37 y | 4 |
| Dennis Michael Kinghorn | Machias, Me | Jan 21, 2010 | 22 y | 2 |
| John Michael Kulik | Meriden, Ct | Mar 1, 2010 | 17 y | 0 |
| Anthony Guido ForliniCertified Financial Planner | Mt. Clemens, Mi | Aug 11, 2010 | 40 y | 0 |
| Steven Christopher Phipps | Corbin, Ky | Oct 8, 2010 | 23 y | 2 |
| Darla Lynn Leblanc | Church Hill, Tn | Oct 12, 2010 | 23 y | 3 |
| Nelson Lewis Person | Apollo, Pa | Nov 8, 2010 | 22 y | 2 |
| John Charles Salvaggio | Boston, Ma | May 2, 2011 | 41 y | 4 |
| James Thomas Ziebarth | Oshkosh, Wi | Jun 9, 2011 | 29 y | 1 |
| William Herman Hopkins | Greenville, Nc | Sep 6, 2011 | 35 y | 3 |
| Frank Cleveland Jones | Ahoskie, Nc | Sep 6, 2011 | 32 y | 3 |
| Angela Harrell Futrell | Edenton, Nc | Sep 6, 2011 | 23 y | 2 |
Advisor movement
43 left, 44 joined in 12 months
net +1 in 12 months12 left in 90 days10 joined in 90 daysdeparture rate 7.9% of current headcount183 left over 36 months
Left, latest
- Richard Omar Wilson to LPL Financial LLCSep 11, 2026 · Affiliated broker-dealer or bank to another
- Robert George Wilson to LPL Financial LLCSep 11, 2026 · Affiliated broker-dealer or bank to another
- Aaron Brett Sexton to Edward JonesAug 24, 2026 · Affiliated broker-dealer or bank to another
- Aaron Roman to LPL Financial LLCJul 31, 2026 · Affiliated broker-dealer or bank to another
- Mark Robert Calaci to LPL Financial LLCJul 20, 2026 · Affiliated broker-dealer or bank to another
- Jeffrey Bruce Schneider to LPL Financial LLCJul 20, 2026 · Affiliated broker-dealer or bank to another
- John William Manzella to LPL Financial LLCJul 13, 2026 · Affiliated broker-dealer or bank to another
- Chad Allen Bell to LPL Financial LLCJun 26, 2026 · Affiliated broker-dealer or bank to another
- Clay Everett Bell to LPL Financial LLCJun 26, 2026 · Affiliated broker-dealer or bank to another
- Egle Bakunaite to UBS Financial Services Inc.Jun 23, 2026 · Affiliated broker-dealer or bank to wirehouse
- James Collin Mckenna to RBC Capital Markets, LLCJun 22, 2026 · Affiliated broker-dealer or bank to another
- Addison Fredette Vigars to RBC Capital Markets, LLCJun 22, 2026 · Affiliated broker-dealer or bank to another
- Douglas Warren Mcpherson to Cetera Investment Advisers LLCJun 15, 2026 · Affiliated broker-dealer or bank to another
- Bonnie Baldauf Parker to Cetera Investment Advisers LLCJun 15, 2026 · Affiliated broker-dealer or bank to another
- Timotej Czernek to Cetera Investment Advisers LLCJun 15, 2026 · Affiliated broker-dealer or bank to another
Joined, latest
- James Jose Jazo from Eagle Strategies LLCSep 9, 2026 · Affiliated broker-dealer or bank to another
- David Robert Weigand from Pnc Wealth ManagementSep 1, 2026 · Affiliated broker-dealer or bank to another
- Chimaobi Abarikwu from Edward JonesAug 31, 2026 · Affiliated broker-dealer or bank to another
- Jack Putnam from Edward JonesAug 3, 2026 · Affiliated broker-dealer or bank to another
- Donald John Bellefy from SpcJul 28, 2026 · Affiliated broker-dealer or bank to another
- Codi Lee Pepera from LPL Financial LLCJul 27, 2026 · Affiliated broker-dealer or bank to another
- Mark T Eberhart from Edward JonesJul 13, 2026 · Affiliated broker-dealer or bank to another
- Chad Michael Backes from LPL Financial LLCJul 13, 2026 · Affiliated broker-dealer or bank to another
- Jonathan Aaron Hileman from Key Investment Services LLCJul 9, 2026 · Affiliated broker-dealer or bank to another
- Dane Mark Castle from Sagepoint Financial, Inc.Jul 1, 2026 · Affiliated broker-dealer or bank to another
- Isaac Cho from Equitable Advisors, LLCMay 28, 2026 · Affiliated broker-dealer or bank to another
- Nicholas Edward Shala from State Farm Investment Management Corp.May 26, 2026 · Other
- Mark Steven Yandura from LPL Financial LLCMay 19, 2026 · Affiliated broker-dealer or bank to another
- Martin James Mangialardi from Cuna Brokerage Services, Inc.May 8, 2026 · Affiliated broker-dealer or bank to another
- Amy Watts from Commonwealth Financial NetworkMay 1, 2026 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for LPL Financial LLCSep 11, 2026 · Meriden, Ct
- 2 left for LPL Financial LLCJul 20, 2026 · New York, Ny
- 2 left for LPL Financial LLCJun 26, 2026 · Barre, Vt
- 2 left for RBC Capital Markets, LLCJun 22, 2026 · Dover, Nh
- 4 left for Cetera Investment Advisers LLCJun 15, 2026 · Lakeland, Fl
- 2 left for Alta Wealth Advisors LLCFeb 2, 2026 · Newton, Ma
- 5 left for LPL Financial LLCJan 27, 2026 · The Villages, Fl
- 2 left for Raymond James Financial Services Advisors, IncOct 7, 2025 · Laredo, Tx
- 4 joined from Ameriprise Financial Services, LLCAug 11, 2025 · Palm Beach Gardens, Fl
- 6 joined from Ameriprise Financial Services, LLCAug 11, 2025 · Great Neck, Ny
- 5 joined from Ameriprise Financial Services, LLCJul 28, 2025 · West Orange, Nj
- 2 joined from Eagle Strategies LLCApr 29, 2025 · Hyannis, Ma
- 2 joined from Cuso Financial Services, L.P.Mar 13, 2025 · San Diego, Ca
- 2 joined from LPL Financial LLCSep 5, 2024 · St Paul, Mn
- 2 joined from Cuso Financial Services, L.P.Mar 20, 2024 · Bridgewater, Nj
- 2 joined from Cuso Financial Services, L.P.Nov 29, 2023 · Avondale, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Stephen Paul Amarante · President, Ceo And Directorcontrolsince 10/2022 · owns less than 5%
- John Michael Cooney · Chief Compliance Officercontrolsince 03/2016 · owns less than 5%
- Gregory Allen Cornick · Directorcontrolsince 10/2022 · owns less than 5%
- Dori Jamille Hammond · Chief Compliance Officercontrolsince 07/2025 · owns less than 5%
- Timothy Robert Hodge · Chief Operations Officercontrolsince 01/2024 · owns less than 5%
- James Dale Price · Chairmancontrolsince 10/2022 · owns less than 5%
- Matthew Adam Schlueter · Director And Executive Vice President Operations And Technology Solutionscontrolsince 10/2022 · owns less than 5%
- Milton Ralph Berlinski · Investment Membercontrolsince 08/2014 · owns F of Mrb Icbc LLC
- Milton Ralph Berlinski · Trusteecontrolsince 06/2006 · owns 25% to 50% of The Berlinski Family 2006 Trust
- Milton Ralph Berlinski · Membercontrolsince 08/2014 · owns F of Rcp Genpar LP
- Milton Ralph Berlinski · Membercontrolsince 08/2014 · owns F of Rcp Genpar Holdco LLC
- Christopher Mills Mitchell · Corporate Treasurer, Financial And Operations Principalsince 08/2025 · owns less than 5%
- David Martin Schmidt · Treasurer, Financial And Operations Principalsince 02/2024 · owns less than 5%
Entity owners
- Osaic Institutions Holdings, · Holding Companydirect · owns 75% or more
- Osaic Institutions Holdings, Inc. · Holding Companydirect · owns 75% or more
- Ag Artemis Holdings Gp, LLC · General Partnerindirect · owns F of Ag Artemis Holdings, L.P.
- Ag Artemis Holdings, L.P. · Shareholderindirect · owns 75% or more of Ag Intermediate Corporation
- Ag Intermediate Corporation · Shareholderindirect · owns 75% or more of Osaic Financial Services, Inc.
- Ag Parent Corporation · Shareholderindirect · owns 75% or more of Osaic Holdings, Inc.
- Mrb Icbc LLC · Memberindirect · owns 25% to 50% of Rcp Genpar Holdco LLC
- Osaic Financial Services, Inc. · Shareholderindirect · owns 75% or more of Ag Parent Corporation
- Osaic Holdings, Inc. · Shareholderindirect · owns 75% or more of Osaic Institutions Holdings, Inc.
- Rcp Artemis Co-Invest Gp LLC · General Partnerindirect · owns F of Rcp Artemis Co-Invest, L.P.
- Rcp Artemis Co-Invest, L.P. · Limited Partnerindirect · owns 50% to 75% of Ag Artemis Holdings, L.P.
- Rcp Genpar Holdco LLC · Limited Partnerindirect · owns 75% or more of Rcp Genpar LP
- Rcp Genpar LP · Limited Partnerindirect · owns 75% or more of Rcp Opp Fund II Gp, LP
- Rcp Opp Fund II Gp, LP · Limited Partnerindirect · owns 75% or more of Rc Artemis Co-Invest Gp, LLC
- The Berlinski Family 2006 Trust · Memberindirect · owns 75% or more of Mrb Icbc LLC
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Meriden, Ct · principal | 60 | 8 | 3 | 1 | |
| New York, Ny | 22 | 2 | 1 | 1 | |
| Concord, Nh | 15 | 3 | 0 | ||
| West Orange, Nj | 15 | 0 | 0 | ||
| South Windsor, Ct | 9 | 1 | 0 | ||
| Pittsburgh, Pa | 8 | 0 | 0 | ||
| Grand Forks, Nd | 7 | 0 | 0 | ||
| Brooklyn, Ny | 7 | 1 | 1 | ||
| Abingdon, Va | 7 | 0 | 0 | ||
| Mystic, Ct | 6 | 0 | 0 | ||
| Fargo, Nd | 6 | 2 | 0 | ||
| Meridiam, Id | 6 | 6 | 0 | ||
| Westminster, Co | 6 | 0 | 0 | ||
| Southington, Ct | 6 | 0 | 0 | ||
| Springfield, Il | 6 | 0 | 0 | ||
| Poughkeepsie, Ny | 6 | 2 | 0 | ||
| Denver, Co | 6 | 0 | 0 | ||
| Indiana, Pa | 6 | 0 | 0 | ||
| Bronx, Ny | 6 | 0 | 0 | ||
| Aurora, Co | 5 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Meridan, CT21 employees
- New York, NY10 employees
- South Windsor, CT7 employees
- Virginia Beach, VA6 employees
- Concord, NH5 employees
- Mt Olive, NC5 employees
- Pittsburgh, PA4 employees
- Ridgefield, CT4 employees
- Kansas City, KS4 employees
- Canton, MA4 employees
- The Villages, FL4 employees
- Ellsworth, ME4 employees
- Springfield, IL4 employees
- Ravenna, OH3 employees
- Southington, CT3 employees
- New York, NY3 employees
- Abingdon, VA3 employees
- Mystic, CT3 employees
- Valdosta, GA3 employees
- Agawam, MA3 employees
- Watertown, CT3 employees
- The Villages, FL3 employees
- Indiana, PA3 employees
- Lapeer, MI3 employees
- Eagan, MN2 employees
ADV anomalies
8 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 18, 2026HODGE, TIMOTHY ROBERT (CHIEF OPERATIONS OFFICER) left Schedule A between the filings of 2024-05-29 and 2026-08-18peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Aug 18, 2026HAMMOND, DORI JAMILLE (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-05-29 and 2026-08-18peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Aug 18, 2026COONEY, JOHN MICHAEL (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-05-29 and 2026-08-18peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Aug 18, 2026BERLINSKI, MILTON RALPH (TRUSTEE) left Schedule A between the filings of 2024-05-29 and 2026-08-18peers: affiliated wealth managers, $5B to $20B (53)
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $4,024,448,971 to $6,494,001,878 (+61.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +21.0% (52 comparable advisers, 92.0th percentile of changes)peers: affiliated wealth managers, $5B to $20B (52) · 92% percentile
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 27.0% to 63.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: affiliated wealth managers, $5B to $20B (53)
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 630.0 to 1,839.0 (+192.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +4.0% (52 comparable advisers, 98.0th percentile of changes)peers: affiliated wealth managers, $5B to $20B (52) · 98% percentile
- client count surgeChange between filings · filing Mar 31, 2026individual and HNW clients (Item 5.D) moved from 6,932.0 to 15,798.0 (+128.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +8.0% (50 comparable advisers, 100.0th percentile of changes)peers: affiliated wealth managers, $5B to $20B (50) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 8,779 to 11,892Feb 5, 2026 to Mar 31, 2026
- Advisory employees · 446 to 478Feb 5, 2026 to Mar 31, 2026
- BD registered reps · 557 to 604Feb 5, 2026 to Mar 31, 2026
- Charity clients · 152 to 259Feb 5, 2026 to Mar 31, 2026
- Corporate clients · 127 to 255Feb 5, 2026 to Mar 31, 2026
- HNW clients · 15 to 37Feb 5, 2026 to Mar 31, 2026
- Individual clients · 6,917 to 15,761Feb 5, 2026 to Mar 31, 2026
- Employees · 630 to 1,839Feb 5, 2026 to Mar 31, 2026
- State-registered IARs · 446 to 478Feb 5, 2026 to Mar 31, 2026
- Other offices · 574 to 621Feb 5, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.1B to $4.1BFeb 5, 2026 to Mar 31, 2026
- HNW RAUM · $119M to $389MFeb 5, 2026 to Mar 31, 2026
- Individual RAUM · $2.6B to $4.5BFeb 5, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $2.9B to $2.4BFeb 5, 2026 to Mar 31, 2026
- RAUM · $4.0B to $6.5BFeb 5, 2026 to Mar 31, 2026
- Insurance-licensed employees · 0 to 12Oct 21, 2025 to Feb 5, 2026
- Financial planning clients · 1-10 to 1-10Mar 31, 2025 to Jul 16, 2025
- Accounts · 8,478 to 8,779Sep 11, 2024 to Mar 31, 2025
- Advisory employees · 474 to 446Sep 11, 2024 to Mar 31, 2025
- BD registered reps · 611 to 557Sep 11, 2024 to Mar 31, 2025
- Charity clients · 107 to 152Sep 11, 2024 to Mar 31, 2025
- Corporate clients · 149 to 127Sep 11, 2024 to Mar 31, 2025
- HNW clients · 23 to 15Sep 11, 2024 to Mar 31, 2025
- Individual clients · 6,785 to 6,917Sep 11, 2024 to Mar 31, 2025
- Employees · 722 to 630Sep 11, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 1-10Sep 11, 2024 to Mar 31, 2025
- State-registered IARs · 474 to 446Sep 11, 2024 to Mar 31, 2025
- Other offices · 557 to 574Sep 11, 2024 to Mar 31, 2025
- Discretionary RAUM · $996M to $1.1BSep 11, 2024 to Mar 31, 2025
- HNW RAUM · $223M to $119MSep 11, 2024 to Mar 31, 2025
- Individual RAUM · $2.1B to $2.6BSep 11, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $2.6B to $2.9BSep 11, 2024 to Mar 31, 2025
- RAUM · $3.6B to $4.0BSep 11, 2024 to Mar 31, 2025
- Accounts · 8,831 to 8,478Jan 29, 2024 to Mar 26, 2024
- Advisory employees · 539 to 474Jan 29, 2024 to Mar 26, 2024
- Advisory activities · 4 to 6Jan 29, 2024 to Mar 26, 2024
- BD registered reps · 764 to 611Jan 29, 2024 to Mar 26, 2024
- Charity clients · 78 to 107Jan 29, 2024 to Mar 26, 2024
- Corporate clients · 152 to 149Jan 29, 2024 to Mar 26, 2024
- HNW clients · 17 to 23Jan 29, 2024 to Mar 26, 2024
Signals
60 dated events
- Melody Royer added a MT registration at Osaic Institutions, Inc.Sep 16, 2026 · New state registration · fact
- Melody Royer added a OR registration at Osaic Institutions, Inc.Sep 16, 2026 · New state registration · fact
- Melody Royer added a WA registration at Osaic Institutions, Inc.Sep 16, 2026 · New state registration · fact
- Richard Omar Wilson left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2026-09-11)Sep 11, 2026 · Advisor changed firm · fact
- Robert George Wilson left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2026-09-10)Sep 11, 2026 · Advisor changed firm · fact
- 2 advisors left Osaic Institutions, Inc. (Meriden, CT) for LPL Financial LLC on the same daySep 11, 2026 · Team lift-out · derived
- Aaron Brett Sexton left Osaic Institutions, Inc. for Edward Jones (registered 2026-08-21)Aug 24, 2026 · Advisor changed firm · fact
- Aaron Roman left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2026-08-04)Jul 31, 2026 · Advisor changed firm · fact
- Jeffrey Bruce Schneider left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2026-07-20)Jul 20, 2026 · Advisor changed firm · fact
- Mark Robert Calaci left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2026-07-20)Jul 20, 2026 · Advisor changed firm · fact
- 2 advisors left Osaic Institutions, Inc. (New York, NY) for LPL Financial LLC on the same dayJul 20, 2026 · Team lift-out · derived
- John William Manzella left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2026-07-13)Jul 13, 2026 · Advisor changed firm · fact
- Clay Everett Bell left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2026-06-29)Jun 26, 2026 · Advisor changed firm · fact
- Chad Allen Bell left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2026-06-26)Jun 26, 2026 · Advisor changed firm · fact
- 2 advisors left Osaic Institutions, Inc. (Barre, VT) for LPL Financial LLC on the same dayJun 26, 2026 · Team lift-out · derived
- Egle Bakunaite left Osaic Institutions, Inc. for Ubs Financial Services Inc. (registered 2026-07-07)Jun 23, 2026 · Advisor changed firm · fact
- James Collin Mckenna left Osaic Institutions, Inc. for Rbc Capital Markets, Llc (registered 2026-06-18)Jun 22, 2026 · Advisor changed firm · fact
- Addison Fredette Vigars left Osaic Institutions, Inc. for Rbc Capital Markets, Llc (registered 2026-06-18)Jun 22, 2026 · Advisor changed firm · fact
- 2 advisors left Osaic Institutions, Inc. (Dover, NH) for RBC Capital Markets, LLC on the same dayJun 22, 2026 · Team lift-out · derived
- Timotej Czernek left Osaic Institutions, Inc. for Cetera Investment Advisers Llc (registered 2026-06-12)Jun 15, 2026 · Advisor changed firm · fact
- Bonnie Baldauf Parker left Osaic Institutions, Inc. for Cetera Investment Advisers Llc (registered 2026-06-18)Jun 15, 2026 · Advisor changed firm · fact
- Thomas Christopher Lloyd left Osaic Institutions, Inc. for Cetera Investment Advisers Llc (registered 2026-06-12)Jun 15, 2026 · Advisor changed firm · fact
- Douglas Warren Mcpherson left Osaic Institutions, Inc. for Cetera Investment Advisers Llc (registered 2026-06-16)Jun 15, 2026 · Advisor changed firm · fact
- Arthur Garofalo left Osaic Institutions, Inc. for Morgan Stanley (registered 2026-06-12)Jun 15, 2026 · Advisor changed firm · fact
- 4 advisors left Osaic Institutions, Inc. (Lakeland, FL) for Cetera Investment Advisers LLC on the same dayJun 15, 2026 · Team lift-out · derived
- Michael Benjamin Liebson left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2026-06-08)Jun 2, 2026 · Advisor changed firm · fact
- David Adam Holstein left Osaic Institutions, Inc. for Lpl Enterprise, Llc (registered 2026-05-26)May 27, 2026 · Advisor changed firm · fact
- Katherine Dimascolo left Osaic Institutions, Inc. for Beacon Financial Planning, Inc (registered 2026-07-27)Apr 9, 2026 · Advisor changed firm · fact
- Yeghishe Ayvazyan left Osaic Institutions, Inc. for Wells Fargo Advisors (registered 2026-04-01)Apr 1, 2026 · Advisor changed firm · fact
- Osaic Institutions, Inc. reported RAUM $6.5B, up 61% from $4.0B (2026-02-05 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Osaic Institutions, Inc. · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/osaicincreportedpublic record, Form ADV, Sep 17, 2026
- Website
- osaic.com/institutionsreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 203-599-6000reportedpublic record, Form ADV, Aug 18, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $11.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026