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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

Matthew Pfaff

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Plymouth, MN | Minneapolis, MN

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Search this name across graphsid dfx:ria:a9cc7615-fe82-7f3f-b083-161e7f9f971d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 11, 2016 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 11
Exams: S63|S66
First exam: Apr 16, 2016
First registration: Oct 11, 2016
Dual registered: yes, broker-dealer
Other names: MATTHEW JOHN PFAFF
IAPD individual key: 5518417

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 31, 2025	n/a	yes	Minneapolis, MN\|Plymouth, MN	Current employment
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC	Independent wealth	Nov 30, 2020	Nov 9, 2021	no	GOLDEN VALLEY, MN\|GOLDEN VALLEY, MN\|GOLDEN VALLEY, MN	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 30, 2019	Nov 23, 2020	no	Minneapolis, MN	Previous registration
QUESTAR ASSET MANAGEMENT, INC.	Former SEC adviser	Oct 11, 2016	Mar 6, 2019	no	MINNEAPOLIS, MN\|MINNEAPOLIS, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 9, 2021	Oct 31, 2025	1,452	Firm change after gap	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	THE OAK RIDGE FINANCIAL SERVICES GROUP, INC	Nov 23, 2020	Nov 30, 2020	7	Firm change	Ibd to ibd
QUESTAR ASSET MANAGEMENT, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Mar 6, 2019	Apr 30, 2019	55	Firm change	Ibd to ibd

Relationships

Registered with (3)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 30, 2019 to Nov 23, 2020factForm ADV
→ THE OAK RIDGE FINANCIAL SERVICES GROUP, INCRegistered adviserregistration: previous registration
Nov 30, 2020 to Nov 9, 2021factForm ADV
→ QUESTAR ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Oct 11, 2016 to Mar 6, 2019factForm ADV

Dated events

No dated event names this entity yet.