Poughkeepsie, NY Jefferson Plaza Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
2 Jefferson Plaza
Poughkeepsie NY 12601
Advisors at this office
4
Advisors at this office
Jason N
Series 63, Series 65
Poughkeepsie, NY
OSAIC Institutions, inc.
Jason Netrosio is a financial advisor at OSAIC Institutions, Inc. with 29 years of industry experience. He holds Series 63 and Series 65 designations and has previously worked at LPL Financial, CUNA Brokerage Services, Inc., and CUNA Mutual Group. 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, and access to alternative investments through a hybrid adviser/broker-dealer model with both discretionary and non-discretionary accounts.
John M
Series 63, Series 65
Poughkeepsie, NY
OSAIC Institutions, inc.
John Mc Loughlin is a financial advisor at OSAIC Institutions, Inc. with 36 years of industry experience. He holds Series 63 and Series 65 designations. His prior work includes roles at Santander Securities, LLC, Santander Bank, NA, Woodbury Financial Services Inc., and Ferreira Construction. OSAIC Institutions, Inc. is an SEC-registered investment adviser serving individuals, ERISA retirement plans, trusts, estates, and corporate clients through a large 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 under a hybrid adviser/broker-dealer model.
Joseph P
Series 63, Series 66
Poughkeepsie, NY
OSAIC Institutions, inc.
Joseph Pillot is a financial advisor with OSAIC Institutions, Inc. holding Series 63 and Series 66 designations and 19 years of industry experience. His work history includes roles at J.P. Morgan Securities and JPMorgan Chase Bank, N.A., along with operating his own business, Jpillot Enterprises, LLC. OSAIC Institutions, Inc. is an SEC-registered investment adviser serving individuals, ERISA plans, trusts, estates, and corporate clients. The firm offers customized advisory and consulting services through a hybrid adviser/broker-dealer structure and emphasizes a model where investment analysis and account management are delegated to its representatives with firm supervision.
Joseph M
Series 66
Poughkeepsie, NY
OSAIC Institutions, inc.
Joseph Miller is a financial advisor at OSAIC Institutions, Inc. with the Series 66 designation and one year of industry experience. He has worked at Rhinebeck Asset Management and Rhinebeck Bank in recent years and has a background including roles at Penn State University and various other organizations. OSAIC Institutions, Inc. is an SEC-registered investment adviser serving individuals, ERISA retirement plans, trusts, estates, and corporate clients through a large network of adviser representatives. The firm offers customized advisory services, financial planning, ERISA plan services, access to alternative investments, and combines investment adviser and broker-dealer registrations in a distinctive hybrid model.
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor's Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and referrals are provided by FinanceHQ LLC ("FHQ"), a wholly-owned subsidiary of Warmer and an SEC-registered investment adviser. We may be compensated by participating advisors. You pay no fee to use our matching service, and advisor fees are not increased because of a referral. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to the Warmer Terms of Service and FHQ Advisory Agreement, and acknowledge Warmer's Privacy Policy. Please review FHQ's ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")