SourcingSourcing

OSAIC INSTITUTIONS, INC.

C29
CRD 35371·SEC 801-67242·MERIDEN, CT
AUM
$6.49B
$1B+
Est. Revenue
$64.9M
@ 1% on AUM
Est. EBITDA
$19.5M
@ 30% margin
Est. Deal Value
$155.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
OSAIC INSTITUTIONS, INC.
CRD
35371
SEC file #
801-67242
EIN
000000000
DBA names
—

Economics

AUM
$6.49B
AUM band
$1B+
AUM trajectory
'20'26
$1.36B → $6.49B▲ +379%
Client mix
Individuals Other15,761
Charitable Organizations259
Corporations255
Individuals High Net Worth37

Operations

Employees (total)
1,839
Advisory staff (per ADV)
478
Advisory staff (5-yr trend)
'20'26
523 advisors → 478 advisors▼ -9%
Primary office
MERIDEN CT
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
osaic.com/institutions

Compliance

Disclosures (firm)
9
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
OSAIC INSTITUTIONS HOLDINGS,
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
7
Control Persons
OSAIC INSTITUTIONS HOLDINGS,
AMARANTE, STEPHEN PAUL
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
OSAIC.COM
Rdap Domain Creation Date
1997-01-23T05:00:00Z
Rdap Firm Age Years
29
Rdap Firm Age Band
20+y
Rdap Registrar
CSC Corporate Domains, Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
7
Form 5500 Total Compensation
158,534
Form 5500 Compensation Trajectory 3y
2025158,534
Form 5500 Plan Count Trajectory 3y
20257
Schedule C Total Compensation
158,534
Schedule C Service Provider Rows
7

SEC EDGAR

Edgar Cik
0001677044
Edgar Registered
Yes
Edgar Filing Count
36
Edgar First Filing Date
2016-10-07
Edgar Last Filing Date
2026-05-15
Edgar 13f Count
28
Edgar 13f Latest AUM Estimate
Filing Date2026-05-15
Accession0001677044-26-000005
Edgar Form D Count
2
Edgar Form D Offerings
2017-01-112017-01-11 · 0001677044-17-000002
2016-10-072016-10-07 · 0001677044-16-000004
Edgar Former Names
Advisor Group Holdings, Inc.
ADVISOR GROUP HOLDINGS, INC.

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.1695
Soi Zip Pct 200k Plus
0.024
Soi Zip Returns 200k Plus
440
Soi Zip Total AGI
1,102,870
Fdic Zip Total Deposits
18,963,085,000
Fdic Zip Branch Count
306
Fdic Zip Top Banks
TD Bank, National Association
Bank of America, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (26)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
49
Bc Firm Active IA Count
34
Bc Firm IAR Count
50
Custodian Candidates
Full
E*trade6
Pershing4
Edgar Addresses
Mailing
18700 HAYDEN RD.SUITE 255SCOTTSDALE, AZ 85225
Business
18700 HAYDEN RD.SUITE 255SCOTTSDALE, AZ 85225
Edgar EIN
000000000
Edgar Recent Filings
13F-HR2026-05-15 · 0001677044-26-000005
SCHEDULE 13G/A2026-05-12 · 0001677044-26-000004
Fdic Zip Branches Raw
Fleet Bank, National AssociationMeriden, CT
Fleet Bank, National AssociationMeriden, CT
Fdic Zip HHI
810.58
Fdic Zip Top Bank Share Pct
15.29
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-01-24T05:00:00Z
Rdap Domain Last Changed
2026-01-20T06:11:32Z
Rdap Nameservers
Ns1.advisorgroup.comNs2.advisorgroup.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI65,946
Returns5,150
Stub 2
AGI181,116
Returns4,900
Stub 3
AGI198,088
Returns3,220
Soi Zip Total Business Income
28,358
Soi Zip Total Cap Gains
15,390
Soi Zip Total Dividends
8,593
Soi Zip Total Returns
18,350
Trust Company Affiliate
No

People (56)

56
STEPHEN PAUL AMARANTE
Executive Officer · 2.5%
3165067
GREGORY ALLEN CORNICK
Executive Officer · 2.5%
3132991
DORI JAMILLE HAMMOND
Executive Officer · 2.5%
3259012
PRICE, JAMES, DALE
Executive Officer · 2.5%
1243224
SCHLUETER, MATTHEW, ADAM
Executive Officer · 2.5%
2627931
MITCHELL, CHRISTOPHER, MILLS
Executive Officer · 2.5%
2420144
CHAD ALLEN BELL
IAR
4073111
WILLIAM ROBERT HART
IAR
4249406
SUSAN SANTOS HARKIN
IAR
4267823
KEVIN PAUL MANCINI
IAR
4217056
JOSEPH SIPALA
IAR
4276932
NELSON LEWIS PERSON
IAR
4708167
ROBERT DAVID KUSIAK
IAR
4855734
STEVEN SCOTT SMITH
IAR
4561253
PETER JON FREDERICKSEN
IAR
4902242
Gavin William Reaser
IAR
7346963
Lori Michelle Johnson
IAR
6908152
GEOFFREY PAUL MILTON
IAR
6099512
BRITTANY LEIGH Chambers
IAR
5794929
CHRISTENE HAULSEE MCNEW
IAR
5573141
Shawn Lynn Ratcliffe
IAR
6609204
JANET Mendez
IAR
5794487
GLEN ALAN CHRETIEN
IAR
4649465
THOMAS JAMES DILLON
IAR
4634502
ANGELA HARRELL FUTRELL
IAR
4578424
JOHN M CHIPELO
IAR
5124550
ALYSON REBECCA ZIBELL
IAR
5984729
RYAN J. HARTEIS
IAR
5844583
RYAN EDWARD ROBERTSON
IAR
5855239
MARINA DANIELLE STEPHENS
IAR
6041747
SAMUEL Campbell WATSON
IAR
6063789
JULIE ANNE EADES
IAR
6102666
LEE FRANK CHYTKA
IAR
6322770
AMIE L HELM
IAR
6454383
COSMIN ELIJAH MAJORS
IAR
5287028
RENEE C. FERREIRA
IAR
5772424
FRANCES JUDITH VALENTIN
IAR
5434542
AMANDA LYNN ROBBINS
IAR
6180451
LEE KAREN PARKS
IAR
5618879
RENATA I SCHINDLER
IAR
6553298
John Trombetta
IAR
6775969
Terese Wieber
IAR
6762188
ALEXANDRA POTTS
IAR
6602937
JOHN RICHARDSON NOONAN
IAR
6025985
Natasha Brigitte Fenster
IAR
7622524
JASON W JOHN
IAR
4635963
PETER MATHEW SILBO
IAR
1975657
Brian Bernstein
IAR
6936362
JAMES DUANE BISH
IAR
4803489
DENNIS PAUL JUVAN
IAR
1995814
Kim Ellen Aligata
IAR
2434441
PAUL RICHARD COGGINS
IAR
1691220
RALPH ALFONSO GIANSANTI
IAR
1728073
CHRISTOPHER CHARLES MORRISSEY
IAR
1581526
LEE HARRISON NORMAN
IAR
2279436
William Charles Brooks
IAR
2216679