DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Allspring Global Investments, LLC
Latest filing May 13, 2026
First filing on the tape Nov 29, 2011 · 76 filings
SEC status approved since Apr 27, 1984
RAUM
$476B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.8%
$8.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
956
301 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
14
reported on Schedule D
History
76 filings and snapshots on the tape
RAUM$476B as of May 13, 2026
Mar 30, 2012$316B then
HNW client RAUM$5.7B as of May 13, 2026
Mar 30, 2018$3.2B then
State-registered IARs (5.B.3)0 as of May 13, 2026
Apr 1, 20137 then
Employees (5.A)956 as of May 13, 2026
Apr 1, 2013763 then
Private funds14 as of May 13, 2026
Mar 30, 201212 then
RAUM +4.0% over the last fiscal year+9.0% a year over threeIARs 0 to 0offices 11 to 10
Practice profile
derived from the filing of May 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $43.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $4.2B, 115 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$340B71%
- Insurance companies$41B8.7%
- State and municipal entities$25B5.3%
- Pension and profit-sharing plans$21B4.4%
- Corporations and businesses$15B3.1%
- Pooled investment vehicles$14B2.9%
- Charitable organizations$10B2.1%
- High-net-worth individuals$5.7B1.2%
- Individuals$2.9B0.6%
- Sovereign wealth funds$918M0.2%
- Individual clients
- 7,267reported
- HNW clients
- 1,893reported
- Pension plan clients
- 78reported
- Charitable clients
- 501reported
- Accounts
- 11,055reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $10B managedreported
- Custody of client assets
- $4.2B for 115 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.02 fund_share=0.74 institutional_share=0.21 related_bd=true related_bank=true bd_reps=109.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Christopher George Bradley to Guggenheim InvestmentsOct 12, 2009 · Other
- Christopher Hal Neddo to Cynosure AdvisorsOct 12, 2009 · Other
- William Frank Koster to One Day In July LLCOct 27, 2005 · Other
- Lyle J Fitterer to Robert W. Baird & Co. IncorporatedOct 27, 2005 · Other
- Frank Joseph Esposito to Allspring Funds Management, LLCOct 27, 2005 · Other
- Paul Gary Engle to Allspring Funds Management, LLCOct 27, 2005 · Other
- Thomas James Pence to Stifel, Nicolaus & Company, IncorporatedOct 20, 2005 · Other
- James Michael Leach to Windsor Wealth Management, Inc.Oct 20, 2005 · Other
- Thomas Morrison Price to National Investment Services Of America, LLCOct 20, 2005 · Other
- Troy Allan Brockmeier to Wells Fargo Investments, LLCFeb 9, 2005 · Other
- Michael Scott Bolar to Stoker Ostler, A Part Of Bmo Financial GroupJun 30, 2003 · Other
- Clarence Michael Hughes to Bok Financial AdvisorsDec 20, 2002 · Other
- Timothy Shawn Hartzell to Legacy Asset Management, Inc.Oct 28, 2002 · Other
- James Russell Ferrin to Wells Fargo Investments, LLCAug 22, 2002 · Other
Joined, latest
- Christopher George Bradley from Wells Fargo Investments, LLCSep 14, 2005 · Other
- William Frank Koster from Strong Capital Management IncSep 8, 2005 · Other
- Thomas James Pence from Strong Capital Management IncSep 8, 2005 · Other
- Lyle J Fitterer from Strong Capital Management IncSep 8, 2005 · Other
- James Michael Leach from Strong Capital Management IncSep 8, 2005 · Other
- Frank Joseph Esposito from Strong Capital Management IncSep 8, 2005 · Other
- Thomas Morrison Price from Strong Capital Management IncSep 8, 2005 · Other
- Paul Gary Engle from Strong Capital Management IncSep 8, 2005 · Other
Private funds
36 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Jon Francis Baranko · President, Chief Investment Officer - Global Fundamental Investmentscontrolsince 10/2020 · owns less than 5%
- Lea Jennifer Grunberg · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- Janecka Annette Lege · Chief Financial Officercontrolsince 07/2024 · owns less than 5%
- Clements Sallie Squire · Chief Operating Officercontrolsince 11/2021 · owns less than 5%
- Janecka Annette Lege · Managercontrolsince 08/2024 · owns F of Allspring Global Investments Holdings, LLC
- Clements Sallie Squire · Managercontrolsince 11/2021 · owns F of Allspring Global Investments Holdings, LLC
- Andrew Joseph Sullivan · Managercontrolsince 11/2021 · owns F of Allspring Global Investments Holdings, LLC
Entity owners
- Allspring Global Investments Holdings, LLC · Managing Member, Direct Parent Companydirect · owns 75% or more
- Allspring Buyer, LLC · Shareholderindirect · owns 75% or more of Allspring Global Investments Holdings, LLC
- Allspring Group Holdings, LLC · Shareholderindirect · owns 75% or more of Allspring Intermediate I, LLC
- Allspring Intermediate I, LLC · Shareholderindirect · owns 75% or more of Allspring Intermediate II, LLC
- Allspring Intermediate II, LLC · Shareholderindirect · owns 75% or more of Allspring Buyer, LLC
- Gtcr Fund Xiii/B LP · Shareholderindirect · owns 25% to 50% of Allspring Group Holdings, LLC
- Gtcr Investment Xiii LLC · General Partnerindirect · owns F of Gtcr Partners Xiii/B LP
- Gtcr Partners Xiii/B LP · General Partnerindirect · owns F of Gtcr Fund Xiii/B LP
Related persons
Schedule D 7.A
- Allspring Funds Distributor, LLCbroker-dealern
- Allspring Funds Management, LLCinvestment adviserbankpooled vehicle sponsornRAUM $325B
- Allspring Global Investments (Hong Kong) Limitedbroker-dealerinvestment advisern
- Allspring Global Investments (Japan) Limitedinvestment advisern
- Allspring Global Investments (Singapore) Pte. Ltd.broker-dealerinvestment advisernRAUM $894M
- Allspring Global Investments (Uk) Limitedinvestment adviserbankpooled vehicle sponsornRAUM $31B
- Allspring Global Investments Luxembourg S.A.investment adviserpooled vehicle sponsorn
- Galliard Capital Managementinvestment adviserbanknRAUM $80B
Advisers that list Allspring Global Investments, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Menomonee Falls, WI109 employees
- San Francisco, CA79 employees
- Boston, MA30 employees
- Walnut Creek, CA22 employees
- Los Angeles, CA20 employees
- Minneapolis, MN13 employees
- New York, NY8 employees
- Indianapolis, IN7 employees
- Richmond, VA7 employees
- Saint Louis, MO6 employees
- Lake Oswego, OR5 employees
- Greenville, DE1 employees
What changed
consecutive filings, newest first
- Accounts · 13,122 to 11,055Jul 2, 2025 to Mar 26, 2026
- Advisory employees · 325 to 301Jul 2, 2025 to Mar 26, 2026
- BD registered reps · 113 to 109Jul 2, 2025 to Mar 26, 2026
- Charity clients · 322 to 501Jul 2, 2025 to Mar 26, 2026
- Corporate clients · 417 to 424Jul 2, 2025 to Mar 26, 2026
- HNW clients · 1,264 to 1,893Jul 2, 2025 to Mar 26, 2026
- Individual clients · 5,617 to 7,267Jul 2, 2025 to Mar 26, 2026
- Pension plan clients · 90 to 78Jul 2, 2025 to Mar 26, 2026
- Pooled vehicle clients · 110 to 8Jul 2, 2025 to Mar 26, 2026
- Assets in custody · $3.9B to $4.2BJul 2, 2025 to Mar 26, 2026
- Employees · 976 to 956Jul 2, 2025 to Mar 26, 2026
- Other offices · 11 to 10Jul 2, 2025 to Mar 26, 2026
- Private funds · 15 to 14Jul 2, 2025 to Mar 26, 2026
- Discretionary RAUM · $457B to $476BJul 2, 2025 to Mar 26, 2026
- HNW RAUM · $3.9B to $5.7BJul 2, 2025 to Mar 26, 2026
- Individual RAUM · $2.2B to $2.9BJul 2, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $295M to $13.8MJul 2, 2025 to Mar 26, 2026
- Pension RAUM · $19B to $21BJul 2, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $14B to $14BJul 2, 2025 to Mar 26, 2026
- RAUM · $457B to $476BJul 2, 2025 to Mar 26, 2026
- Wrap assets (manager) · $8.1B to $10BJul 2, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 24, 2025 to Jul 2, 2025
- Pension plan clients · 79 to 90Aug 14, 2024 to Mar 24, 2025
- Pooled vehicle clients · 142 to 110Aug 14, 2024 to Mar 24, 2025
- Assets in custody · $4.5B to $3.9BAug 14, 2024 to Mar 24, 2025
- Accounts · 9,416 to 13,122Aug 14, 2024 to Mar 24, 2025
- Advisory employees · 363 to 325Aug 14, 2024 to Mar 24, 2025
- BD registered reps · 127 to 113Aug 14, 2024 to Mar 24, 2025
- Charity clients · 86 to 322Aug 14, 2024 to Mar 24, 2025
- Corporate clients · 306 to 417Aug 14, 2024 to Mar 24, 2025
- HNW clients · 845 to 1,264Aug 14, 2024 to Mar 24, 2025
- Individual clients · 3,273 to 5,617Aug 14, 2024 to Mar 24, 2025
- Employees · 1,015 to 976Aug 14, 2024 to Mar 24, 2025
- Other offices · 12 to 11Aug 14, 2024 to Mar 24, 2025
- Discretionary RAUM · $429B to $457BAug 14, 2024 to Mar 24, 2025
- HNW RAUM · $2.5B to $3.9BAug 14, 2024 to Mar 24, 2025
- Individual RAUM · $1.4B to $2.2BAug 14, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $13.8M to $295MAug 14, 2024 to Mar 24, 2025
- Pension RAUM · $16B to $19BAug 14, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $11B to $14BAug 14, 2024 to Mar 24, 2025
Signals
27 dated events
- Janecka Annette Lege (Chief Financial Officer) appeared on Schedule A of Allspring Global Investments, LlcAug 14, 2024 · Control person joined · fact
- Festa Molly Mcmillin (Chief Financial Officer) no longer on Schedule A of Allspring Global Investments, Llc (listed 2024-03-22, absent 2024-08-14)Aug 14, 2024 · Control person left · inference
- Lea Jennifer Grunberg (Chief Compliance Officer) appeared on Schedule A of Allspring Global Investments, LlcNov 25, 2022 · Control person joined · fact
- Lynn Karin Brotman (Chief Compliance Officer) no longer on Schedule A of Allspring Global Investments, Llc (listed 2022-11-04, absent 2022-11-25)Nov 25, 2022 · Control person left · inference
- Ralph Milton Berlinski (Managing Member) no longer on Schedule A of Allspring Global Investments, Llc (listed 2022-03-25, absent 2022-06-06)Jun 6, 2022 · Control person left · inference
- Allspring Global Investments, Llc reported 13 offices beyond its principal office, down from 27 (2021-11-12 to 2022-03-25)Mar 25, 2022 · Office count change · derived
- Andrew Joseph Sullivan (Manager) appeared on Schedule A of Allspring Global Investments, LlcMar 25, 2022 · Control person joined · fact
- Ralph Milton Berlinski (Managing Member) appeared on Schedule A of Allspring Global Investments, LlcMar 25, 2022 · Control person joined · fact
- James Daniel Mavico (Chief Compliance Officer) no longer on Schedule A of Allspring Global Investments, Llc (listed 2021-10-12, absent 2021-11-12)Nov 12, 2021 · Control person left · inference
- Lynn Karin Brotman (Chief Compliance Officer) appeared on Schedule A of Allspring Global Investments, LlcNov 12, 2021 · Control person joined · fact
- Connolly Siobhan Foy (Manager, Senior Vice President) no longer on Schedule A of Allspring Global Investments, Llc (listed 2021-10-12, absent 2021-11-12)Nov 12, 2021 · Control person left · inference
- Guy Randy Mangelsen (Manager) no longer on Schedule A of Allspring Global Investments, Llc (listed 2021-10-12, absent 2021-11-12)Nov 12, 2021 · Control person left · inference
- Marie Ann Miletti (Manager) no longer on Schedule A of Allspring Global Investments, Llc (listed 2021-10-12, absent 2021-11-12)Nov 12, 2021 · Control person left · inference
- Festa Molly Mcmillin (Chief Financial Officer) appeared on Schedule A of Allspring Global Investments, LlcNov 12, 2021 · Control person joined · fact
- Wells Capital Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 12, 2021 · Succession (Item 4) · fact
- Douglas Kirk Hartman (Director, Chief Investment Officer) no longer on Schedule A of Allspring Global Investments, Llc (listed 2020-10-09, absent 2021-01-20)Jan 20, 2021 · Control person left · inference
- Guy Randy Mangelsen (Director) appeared on Schedule A of Allspring Global Investments, LlcJan 20, 2021 · Control person joined · fact
- Marie Ann Miletti (Director) appeared on Schedule A of Allspring Global Investments, LlcJan 20, 2021 · Control person joined · fact
- Allspring Global Investments, Llc reported 27 offices beyond its principal office, up from 16 (2019-07-31 to 2020-03-30)Mar 30, 2020 · Office count change · derived
- Allspring Global Investments, Llc reported 0 state-registered advisory representatives, down from 16 (2019-07-31 to 2020-03-30)Mar 30, 2020 · Advisor headcount change · derived
- John Andrew Hunt (Svp) no longer on Schedule A of Allspring Global Investments, Llc (listed 2019-07-31, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Connolly Siobhan Foy (Director) appeared on Schedule A of Allspring Global Investments, LlcMar 30, 2020 · Control person joined · fact
- Lee Karen Norton (Director,Svp, Chief Operating Officer) no longer on Schedule A of Allspring Global Investments, Llc (listed 2019-07-31, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- James Lyle Fitterer (Vice President, Co-Head Fixed Income And Senior Portfolio Manager) no longer on Schedule A of Allspring Global Investments, Llc (listed 2019-04-11, absent 2019-07-31)Jul 31, 2019 · Control person left · inference
- Florsi Nicolaas Marais (Evp, Head Of Multi Asset Solutions) no longer on Schedule A of Allspring Global Investments, Llc (listed 2019-04-11, absent 2019-07-31)Jul 31, 2019 · Control person left · inference
- James Daniel Mavico (Svp, Chief Compliance Officer) appeared on Schedule A of Allspring Global Investments, LlcMar 29, 2019 · Control person joined · fact
- Connolly Siobhan Foy (Svp, Chief Compliance Officer) no longer on Schedule A of Allspring Global Investments, Llc (listed 2019-01-31, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Allspring Global Investments, LLC · Independent Sponsorsshared crd · capital_provider
- Wells Capital Management Inc · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- allspringglobal.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 1-833-289-5038reportedpublic record, Form ADV, May 13, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026