Fargo, ND Ace Allen Way S Office
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OSAIC Institutions, INC.
Enterprise
Firm-wide stats for OSAIC Institutions, INC.
About
Osaic Institutions, Inc. is an SEC‑registered investment adviser that serves individuals (including high‑net‑worth clients), ERISA retirement plans, trusts, estates and corporate clients through a network of investment adviser representatives who are often also registered as broker‑dealer representatives. The firm provides customized advisory services (discretionary and non‑discretionary), financial planning and consulting, ERISA plan services, wrap programs, third‑party asset manager referrals, and access to alternative investments and lending solutions.
Osaic’s model delegates investment analysis and account management to its IARs while providing firm supervision rather than centrally managing most accounts, and clients may elect discretionary authority or retain pre‑approval control over transactions. As disclosed in its brochure, the firm reported approximately $4.11 billion in discretionary assets and $2.39 billion in non‑discretionary assets as of December 31, 2025, and commonly operates through co‑advisory, promoter and third‑party manager arrangements and wrap programs.
What is distinctive about Osaic is its hybrid adviser/broker‑dealer structure — it is registered as both an SEC adviser and a FINRA member and maintains broker‑dealer registrations across all states — combined with a sizable non‑discretionary book, a lending marketplace (CapitalHub) and platform access to alternative investments (via CAIS). The firm’s use of independent third‑party promoters compensated on a percentage of advisory fees and its extensive affiliations with other Osaic entities (including TPAM and subadvisory relationships) create a service and distribution model that differs from many enterprise peers.
Based on OSAIC Institutions, INC.
Location
3189 Ace Allen Way S
Fargo ND 58104
Advisors at this office
5
Advisors at this office
Sandra K
CFP®, Series 63
Fargo, ND
OSAIC Institutions, INC.
Sandra Korbel is a CFP® professional with 14 years of industry experience. She currently works at OSAIC Institutions, INC. and has held roles at Infinex Investments, Inc. and Alerus-related entities over the past decade. She also serves as a Wealth Management Officer with Alerus Financial, managing customer accounts under trust powers and assisting with financial planning. OSAIC Institutions, INC. is an SEC-registered investment adviser serving individuals, ERISA retirement plans, trusts, estates, and corporate clients through a network of investment adviser representatives. The firm offers customized advisory and financial planning services and operates a hybrid adviser/broker-dealer model with access to alternative investments and a lending marketplace.
Sean S
CFP®, Series 66
Fargo, ND
OSAIC Institutions, INC.
Sean Sather is a CFP® with 16 years of industry experience, currently serving as a senior financial advisor at OSAIC Institutions, Inc. and Alerus Financial since 2019. His prior experience includes roles at Wells Fargo Clearing and Wells Fargo Investments, LLC. He is based in Fargo, ND, and his activities include planning and advising for accounts managed under trust powers. OSAIC Institutions, Inc. is an SEC-registered investment adviser serving individuals, ERISA plans, trusts, estates, and corporate clients through a network of investment adviser representatives. The firm offers customized advisory services, financial planning, ERISA plan services, and access to alternative investments, operating with a hybrid adviser and broker-dealer structure.
Erik F
Series 66
Fargo, ND
OSAIC Institutions, INC.
Erik Fischer is a financial advisor with OSAIC Institutions, Inc. and holds a Series 66 designation. He has four years of industry experience, including prior roles at UBS Financial Services and Thrivent Investment Management. Erik is based in Fargo, ND. OSAIC Institutions, Inc. is an SEC-registered investment adviser serving individuals, retirement plans, trusts, estates, and corporate clients through a broad network of investment adviser representatives. The firm offers customized advisory services and employs a hybrid adviser/broker-dealer model, combining discretionary and non-discretionary accounts with access to alternative investments and lending solutions.
Trevor M
Series 66
Fargo, ND
OSAIC Institutions, INC.
Trevor Mathew is a financial advisor at OSAIC Institutions, INC. with five years of industry experience. He holds a Series 66 designation and has previously worked at firms including Infinex Investments, Alerus, Thrivent Financial, and Choice Financial Group. Mathew serves on the board of directors for the Fargo Theatre, a nonprofit art house and live event venue listed on the National Register of Historic Places. OSAIC Institutions, INC. is an SEC-registered investment adviser serving individuals, ERISA retirement plans, trusts, estates, and corporate clients. The firm offers customized advisory services through a network of investment adviser representatives, combining discretionary and non-discretionary account management with access to alternative investments and lending solutions.
Rebecca W
CFP®
Fargo, ND
OSAIC Institutions, INC.
Rebecca Walen is a CFP® professional at OSAIC Institutions, Inc. in Fargo, ND, with one year of industry experience. She previously worked at Bell Bank for ten years, followed by roles at Bremer Bank, Thoreson Steffes Trust Company, and Alerus Financial before joining OSAIC Institutions. OSAIC Institutions, Inc. is an SEC-registered investment adviser serving individuals, ERISA plans, trusts, estates, and corporate clients through a network of investment adviser representatives. The firm offers customized advisory services, financial planning, ERISA plan services, and access to alternative investments and lending solutions, operating with a hybrid adviser/broker-dealer structure.
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