New York, NY Park Avenue South 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
470 Park Avenue South
New York NY 10016
Advisors at this office
3
Advisors at this office
Sean K
Series 65, Series 63
New York, NY
OSAIC Institutions, INC.
Sean Knowles is a financial advisor with OSAIC Institutions, Inc. based in New York, NY, holding Series 63 and Series 65 licenses and 17 years of industry experience. His prior roles include positions at Infinex Investments, Amalgamated Bank, Cathay Securities, American Trust Investment Services, Wells Fargo Advisors, and Chase Investment Services Corp. 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, financial planning, ERISA plan services, and access to alternative investments, operating with a hybrid adviser/broker-dealer structure and a model that delegates investment analysis and account management to its investment adviser representatives.
Robert M
Series 66
New York, NY
OSAIC Institutions, INC.
Robert Mante is a financial advisor with OSAIC Institutions, Inc., holding a Series 66 designation and 14 years of industry experience. He has worked at infinex Investments, Inc. since 2016 and Amalgamated Bank since 2011. 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 services, financial planning, and access to alternative investments, operating with a hybrid adviser/broker-dealer structure that includes a lending marketplace and third-party manager arrangements.
Gerhard S
CFP®, Series 63, Series 65
New York, NY
OSAIC Institutions, INC.
Gerhard Schneider is a CFP® with 31 years of industry experience. He is currently affiliated with Osaic Institutions, Inc. and has worked at Amalgamated Bank, Infinex Investments, Inc., and Aegis Capital Corp. He also operates a tutoring business for CFP candidates. Osaic Institutions, Inc. is an SEC-registered investment adviser serving high-net-worth individuals, ERISA plans, trusts, estates, and corporate clients. The firm offers customized advisory services and combines a hybrid adviser/broker-dealer structure with access to alternative investments and lending solutions.
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