← Tributary

OSAIC INSTITUTIONS, INC.

MERIDEN, CT · CRD 35371 · IAPD ↗ · 203-599-6000

$6.49BRegulatory AUM
478Advisory reps
1839Employees
7Clients
1-10Planning clients
0Private funds
53States
19Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2026 — OSAIC INSTITUTIONS, INC. added office(s): 574 -> 621 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
72
April 2026 — OSAIC INSTITUTIONS, INC. reported RAUM up 61% ($4.02B -> $6.49B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2026 — OSAIC INSTITUTIONS, INC. grew from 446 to 478 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
March 2026 — OSAIC INSTITUTIONS, INC.'s Item 11 disclosure-reporting entries rose by 5 (14 -> 19).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2025 — OSAIC INSTITUTIONS, INC. shrank from 474 to 446 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2025 — OSAIC INSTITUTIONS, INC. added office(s): 557 -> 574 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
April 2024 — OSAIC INSTITUTIONS, INC. shrank from 539 to 474 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2024 — OSAIC INSTITUTIONS, INC. added office(s): 531 -> 557 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
April 2024 — OSAIC INSTITUTIONS, INC. reported RAUM up 29% ($2.81B -> $3.63B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.