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
Wells Fargo Investment Institute, Inc.
Latest filing Mar 23, 2026
First filing on the tape Mar 30, 2012 · 83 filings
SEC status approved since May 13, 2005
RAUM
$43B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$35B individuals and HNW
Advisors
50
registered through the firm on IAPD
RAUM per advisor
$860M
derived; firm RAUM over IAPD count
Employees
225
143 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
83 filings and snapshots on the tape
RAUM$43B as of Mar 23, 2026
Mar 30, 2012$2.8B then
HNW client RAUM$35B as of Mar 23, 2026
Apr 2, 2018$1.8B then
State-registered IARs (5.B.3)48 as of Mar 23, 2026
Mar 30, 20120 then
Employees (5.A)225 as of Mar 23, 2026
Apr 1, 201341 then
Private funds53 as of Mar 30, 2022
Mar 30, 201255 then
RAUM +5.3% over the last fiscal year+4.1% a year over threeIARs 57 to 48offices 4 to 2
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
- RAUM per advisor
- $843MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 219derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.4derivedItem 5.A over advisors
- Advisors per office
- 17.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -16%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$35B91%
- Corporations and businesses$2.7B7.0%
- Charitable organizations$369M1.0%
- State and municipal entities$357M0.9%
- Individuals$105M0.3%
- Pension and profit-sharing plans$37.9M0.1%
- Individual clients
- 177reported
- HNW clients
- 11,004reported
- Pension plan clients
- 11reported
- Charitable clients
- 114reported
- Accounts
- 12,213reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $7.8B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=7.0derived
Advisors registered through the firm
51 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Richard James BurkeChartered Financial Analyst | Charlotte, Nc | Mar 27, 2017 | 10 y | 0 |
| John Patrick FrithChartered Financial Analyst | Charlotte, Nc | Nov 30, 2021 | 31 y | 0 |
| Lorely Ana MachinChartered Financial Analyst | Paramus, Nj | Nov 30, 2021 | 30 y | 0 |
| Gregory Scott NassourChartered Financial Analyst | Plymouth Meeting, Pa | Nov 30, 2021 | 33 y | 0 |
| Marshall Lindsey StuckeyChartered Financial Analyst | Charlotte, Nc | Nov 30, 2021 | 20 y | 0 |
| Jeremiah Phillip John | Charlotte, Nc | Dec 1, 2021 | 22 y | 0 |
| Autumn Williams | Charlotte, Nc | Dec 7, 2021 | 26 y | 0 |
| Benedict Chi-Hin Wong | Charlotte, Nc | Dec 9, 2021 | 29 y | 1 |
| Jonathan North | Minneapolis, Mn | Dec 9, 2021 | 12 y | 0 |
| Nicholas Anton Negrini | Minneapolis, Mn | Dec 15, 2021 | 13 y | 1 |
| Matthew Kelly WoodsChartered Financial Analyst | Charlotte, Nc | Dec 16, 2021 | 18 y | 0 |
| Joshua J LindsteadtChartered Financial Analyst | Charlotte, Nc | Dec 16, 2021 | 11 y | 0 |
| Jeffrey Troy SawyersChartered Financial Analyst | Charlotte, Nc | Dec 16, 2021 | 30 y | 0 |
| Bruce Allen WarrenChartered Financial Analyst | Charlotte, Nc | Dec 16, 2021 | 20 y | 0 |
| Ryan Tyler HillChartered Financial Analyst | Denver, Co | Dec 21, 2021 | 18 y | 0 |
| Mary Jane Grindland | Minneapolis, Mn | Jan 6, 2022 | 22 y | 0 |
| Daniel Kenny OconnellCertified Financial Planner | Dallas, Tx | Jan 6, 2022 | 40 y | 1 |
| George Edward RusnakChartered Financial Analyst | Princeton, Nj | Jan 18, 2022 | 31 y | 0 |
| Brendan John O'Sullivan | Minneapolis, Mn | Jan 31, 2022 | 16 y | 0 |
| Redmond Tudos | Philadelphia, Pa | Feb 4, 2022 | 26 y | 0 |
| Troy Seiler | Charlotte, Nc | Mar 24, 2022 | 35 y | 2 |
| Michael Dawayne Harris | Charlotte, Nc | Apr 28, 2022 | 10 y | 0 |
| Brian J Heath | Charlotte, Nc | Apr 29, 2022 | 27 y | 0 |
| Melissa Whalen | Wyomissing, Pa | Apr 29, 2022 | 17 y | 0 |
| Sean Orr | Charlotte, Nc | Jun 6, 2022 | 10 y | 0 |
| Ryan Timothy Shaw | Minneapolis, Mn | Nov 7, 2022 | 14 y | 0 |
| Lincoln Sherwood Maurer | Charlotte, Nc | Dec 1, 2022 | 10 y | 0 |
| Matthew Allen Hope | Dallas, Tx | Dec 19, 2022 | 18 y | 1 |
| Andrew Adams Bowling | Charlotte, Nc | Feb 16, 2023 | 10 y | 0 |
| Joseph E Buffa | Saint Louis, Mo | Feb 27, 2023 | 21 y | 2 |
| Daniel F Meehan | Saint Louis, Mo | May 16, 2023 | 29 y | 1 |
| Brandon Gross | Saint Louis, Mo | Aug 27, 2024 | 13 y | 1 |
| James Richard Webster | Charlotte, Nc | Oct 17, 2024 | 10 y | 2 |
| Scott Brecher Warner | Charlotte, Nc | Nov 5, 2024 | 10 y | 1 |
| Andrew Kulinski | Charlotte, Nc | May 14, 2025 | 10 y | 0 |
| Audrey Moran | St Louis, Mo | Sep 12, 2025 | 10 y | 2 |
| Arsene Ble | St. Louis, Mo | Sep 30, 2025 | 10 y | 1 |
| Steven John Majoris | Charlotte, Nc | Nov 17, 2025 | 12 y | 2 |
| Anthony J.Y. Hui | Charlotte, Nc | Dec 11, 2025 | 10 y | 0 |
| Alexis K Quen | Charlotte, Nc | Dec 17, 2025 | 10 y | 0 |
Advisor movement
4 left, 5 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 8.0% of current headcount11 left over 36 months
Left, latest
- Brian Wood to Wells Fargo AdvisorsMay 18, 2026 · RIA to wirehouse
- Richard Stephen Henry to LidoMar 24, 2026 · RIA to RIA
- Mary E Harris to Wells Fargo AdvisorsFeb 23, 2026 · RIA to wirehouse
- Alexander Baran to Wells Fargo AdvisorsJan 29, 2026 · RIA to wirehouse
- David Behr Lipsey to LidoJul 23, 2025 · RIA to RIA
- Wendy Ambrosius Grall to Charles Schwab Investment Management, IncMay 7, 2025 · Other
- David Crawford Beach to Mill Capital Management, LLCFeb 10, 2025 · RIA to RIA
- Jacob R Watson to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 20, 2024 · RIA to wirehouse
- Matthew Glenn Hollands to Figure 8 Investment Strategies LLCJun 20, 2024 · RIA to RIA
- Daniel Thomas Miller to Benjamin F. Edwards & Company, IncorporatedJun 20, 2024 · RIA to affiliated broker-dealer or bank
- Lauren Michelle Klaiber to Bragg Financial Advisors IncJun 20, 2024 · RIA to RIA
- Brock Weimer to Edward JonesMay 15, 2023 · RIA to affiliated broker-dealer or bank
- Stephanie Wo Roncal to Bailard, Inc.Nov 16, 2022 · RIA to RIA
- Elizabeth Ann Skettino to J.P. Morgan Securities LLCOct 13, 2021 · Other
Joined, latest
- Robert Lee Schwartz from Federated Investment CounselingJun 19, 2026 · Other
- Elizabeth Ann Skettino from Cullinan Associates, Inc.May 8, 2026 · RIA to RIA
- Michael John Paone from RBC Capital Markets, LLCJan 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- Steven John Majoris from Advisors Asset Management, Inc.Nov 17, 2025 · RIA to RIA
- Arsene Ble from Wells Fargo AdvisorsSep 30, 2025 · Wirehouse to independent RIA
- Audrey Moran from Wells Fargo AdvisorsSep 12, 2025 · Wirehouse to independent RIA
- Scott Brecher Warner from Nuveen Asset Management, LLCNov 5, 2024 · Other
- James Richard Webster from Adhesion Wealth Advisor SolutionsOct 17, 2024 · Other
- Brandon Gross from Wells Fargo AdvisorsAug 27, 2024 · Wirehouse to independent RIA
- Daniel Thomas Miller from Wells Fargo AdvisorsMay 24, 2024 · Wirehouse to independent RIA
- Mary E Harris from Wells Fargo AdvisorsMar 14, 2024 · Wirehouse to independent RIA
- Jacob R Watson from Ameriprise Financial Services, LLCDec 7, 2023 · Affiliated broker-dealer or bank to independent RIA
- Daniel F Meehan from Wells Fargo AdvisorsMay 16, 2023 · Wirehouse to independent RIA
- Joseph E Buffa from Wells Fargo AdvisorsFeb 27, 2023 · Wirehouse to independent RIA
- Matthew Allen Hope from Omnicap Group LLCDec 19, 2022 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Wells Fargo AdvisorsMar 23, 2022 · St Louis, Mo
Private funds
135 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Strategic Partners Viii Asp Fundno longer reported | Other Private Fund | $307M | 422 | Mar 30, 2020 |
| Apollo Credit Strategies Asp Fundno longer reported | Other Private Fund | $247M | 560 | Mar 29, 2019 |
| Strategic Partners Vii Asp Fundno longer reported | Private Equity Fund | $241M | 544 | Mar 31, 2017 |
| Angelo Gordon Partners Select Asp Fundno longer reported | Other Private Fund | $224M | 674 | Mar 30, 2016 |
| Marshall Wace Eureka Asp Fundno longer reported | Other Private Fund | $221M | 590 | Mar 31, 2015 |
| Principal Enhanced Property Asp Fundno longer reported | Real Estate Fund | $170M | 349 | Mar 30, 2012 |
| Fortress Special Opportunities Asp Fundno longer reported | Other Private Fund | $170M | 351 | Mar 31, 2015 |
| Carlyle Distressed Opportunities IV Asp Fundno longer reported | Private Equity Fund | $169M | 324 | Apr 2, 2018 |
| Graham Absolute Return Asp Fundno longer reported | Other Private Fund | $166M | 566 | Apr 2, 2018 |
| Riverside Capital Appreciation Vii Asp Fundno longer reported | Other Private Fund | $165M | 436 | Mar 30, 2020 |
| Carlyle Realty Partners Viii Asp Fundno longer reported | Private Equity Fund | $153M | 429 | Apr 2, 2018 |
| Canyon Balanced Asp Fundno longer reported | Other Private Fund | $147M | 348 | Mar 30, 2016 |
| Corbin Pinehurst Asp Fundno longer reported | Other Private Fund | $144M | 253 | Mar 30, 2012 |
| Managed Futures Legends Asp Fund, A Series Of Alternative Strategies Managed Futures & Commodities Platform, LLCno longer reported | Other Private Fund | $121M | 264 | Mar 30, 2012 |
| Brep Asia II Fundno longer reported | Private Equity Fund | $118M | 370 | Mar 29, 2019 |
| Bridge Multifamily IV Asp Fundno longer reported | Other Private Fund | $115M | 296 | Mar 30, 2020 |
| Landmark Equity Partners Xvi Asp Fundno longer reported | Other Private Fund | $115M | 270 | Mar 29, 2019 |
| Gwl U.S. Property Asp Fundno longer reported | Real Estate Fund | $100M | 265 | Mar 30, 2012 |
| Aurora Global Opportunities Asp Fund, A Series Of Alternative Strategies Platform, LLCno longer reported | Other Private Fund | $99.8M | 269 | Mar 30, 2012 |
| Kkr Special Situations II Asp Fundno longer reported | Private Equity Fund | $96.0M | 398 | Mar 30, 2016 |
| Gso Capital Solutions III Asp Fundno longer reported | Other Private Fund | $95.1M | 289 | Mar 29, 2019 |
| Abs Global Long Short Asp Fundno longer reported | Other Private Fund | $94.2M | 121 | Mar 30, 2012 |
| Brep Ix Asp Fundno longer reported | Other Private Fund | $90.2M | 208 | Mar 30, 2020 |
| Shannon River Asp Fundno longer reported | Other Private Fund | $89.7M | 336 | Mar 31, 2015 |
| Apollo Natural Resources II Asp Fundno longer reported | Private Equity Fund | $83.9M | 526 | Mar 30, 2016 |
| Carlyle Realty Partners Vii Asp Fundno longer reported | Private Equity Fund | $82.1M | 352 | Mar 31, 2015 |
| Angelo Gordon Direct Lending III Asp Fundno longer reported | Other Private Fund | $75.5M | 218 | Mar 29, 2019 |
| Aurora Diversified II Asp Fund, A Series Of Alternative Strategies Platform, LLCno longer reported | Other Private Fund | $74.4M | 76 | Mar 30, 2012 |
| Cinque Partners Fund Vii, LLCno longer reported | Hedge Fund | $73.7M | 70 | Apr 1, 2013 |
| Wellington Hawkes Bay Asp Fundno longer reported | Other Private Fund | $71.7M | 251 | Apr 2, 2018 |
| Ls Distressed Xi Asp Fundno longer reported | Other Private Fund | $69.9M | 201 | Mar 30, 2020 |
| Gso Energy II Asp Fundno longer reported | Other Private Fund | $67.2M | 124 | Mar 30, 2020 |
| Bc Double Impact II Asp Fundno longer reported | Private Equity Fund | $62.8M | 195 | Mar 30, 2022 |
| Stepstone Tactical Growth II Asp Fundno longer reported | Private Equity Fund | $62.3M | 106 | Apr 2, 2018 |
| Carlyle Energy Mezzanine Access - Asp Fund, LLCno longer reported | Private Equity Fund | $61.3M | 657 | Apr 1, 2013 |
| Ares Energy Infrastructure V Asp Fundno longer reported | Private Equity Fund | $61.1M | 251 | Apr 2, 2018 |
| Blackrock Special Credit Opportunities Asp Fundno longer reported | Private Equity Fund | $58.2M | 495 | Mar 31, 2014 |
| Orbimed Asia Partners III Asp Fundno longer reported | Private Equity Fund | $57.0M | 144 | Apr 2, 2018 |
| Abs Global Long Short II Asp Fundno longer reported | Other Private Fund | $52.9M | 0 | Apr 1, 2013 |
| Aurora Diversified Asp Fund, A Series Of Alternative Strategies Platform, LLCno longer reported | Other Private Fund | $47.8M | 160 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Lynn Darrell Cronk · President And Chief Investment Officer, Directorcontrolsince 12/2014 · owns less than 5%
- James Daniel Mavico · Senior Vice President And Chief Compliance Officercontrolsince 11/2017 · owns less than 5%
- Perkio Britta Mccorduck · Managing Director And Secretarycontrolsince 03/2019 · owns less than 5%
- Lynn Haley Ronzio · Chief Financial Officer, Treasurercontrolsince 11/2023 · owns less than 5%
- Edward George Rusnak · Director (Board Member)controlsince 11/2023 · owns less than 5%
- Scott Gregory Sigmund · Chief Operating Officer, Director (Board Member)controlsince 04/2021 · owns less than 5%
- Barry Sommers · Director (Board Member)controlsince 08/2020 · owns less than 5%
- M David Williams · Chief Compliance Officercontrolsince 11/2025 · owns less than 5%
Entity owners
- Wells Fargo Bank, N.A. · Shareholderdirect · owns 75% or more · public reporting company
- Wells Fargo & Company · Shareholderindirect · owns 75% or more of Wells Fargo Bank, N.A. · public reporting company
Related persons
Schedule D 7.A
- Wells Fargo Advisorsbroker-dealerinvestment adviserLP sponsornRAUM $252B
- Wells Fargo Bank, National Associationbroker-dealerinvestment adviserbankpooled vehicle sponsorLP sponsorreal estatecustodiany
- Wells Fargo Advisorsbroker-dealerinvestment adviserLP sponsorcustodiannRAUM $671B
Advisers that list Wells Fargo Investment Institute, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 29 | 10 | 2 | ||
| Minneapolis, Mn | 8 | 3 | 0 | ||
| Saint Louis, Mo | 3 | 0 | 1 | ||
| St Louis, Mo | 2 | 1 | 0 | ||
| Dallas, Tx | 2 | 0 | 0 | ||
| Denver, Co | 1 | 0 | 0 | ||
| Los Angeles, Ca | 0 | 0 | 0 | ||
| Portland, Or | 0 | 0 | 0 | ||
| Salt Lake City, Ut | 0 | 0 | 1 | ||
| Beaufort, Sc | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Saint Louis, MO85 employees
- Minneapolis, MN13 employees
- Denver, CO6 employees
- Jacksonville, FL6 employees
- San Franciscio, CA6 employees
- West Des Moines, IA6 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 23, 2026WILLIAMS, DAVID, M (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2023-11-15 and 2026-03-23peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Mar 23, 2026MAVICO, DANIEL, JAMES (SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-11-15 and 2026-03-23peers: independent wealth managers, $20B and over (84)
- office count dropChange between filings · filing Mar 23, 2026offices other than the principal office (Item 1.F.5) moved from 4.0 to 2.0 (-50.0%) between the annual amendments of 2025-03-24 and 2026-03-23; the peer median change was +2.0% (54 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $20B and over (54) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 14,594 to 12,213Jan 21, 2026 to Mar 23, 2026
- Advisory employees · 151 to 143Jan 21, 2026 to Mar 23, 2026
- Charity clients · 155 to 114Jan 21, 2026 to Mar 23, 2026
- Corporate clients · 75 to 127Jan 21, 2026 to Mar 23, 2026
- HNW clients · 13,260 to 11,004Jan 21, 2026 to Mar 23, 2026
- Individual clients · 45 to 177Jan 21, 2026 to Mar 23, 2026
- Pension plan clients · 7 to 11Jan 21, 2026 to Mar 23, 2026
- Employees · 233 to 225Jan 21, 2026 to Mar 23, 2026
- State-registered IARs · 57 to 48Jan 21, 2026 to Mar 23, 2026
- Other offices · 4 to 2Jan 21, 2026 to Mar 23, 2026
- Discretionary RAUM · $41B to $43BJan 21, 2026 to Mar 23, 2026
- HNW RAUM · $34B to $35BJan 21, 2026 to Mar 23, 2026
- Individual RAUM · $29.9M to $105MJan 21, 2026 to Mar 23, 2026
- Pension RAUM · $23.0M to $37.9MJan 21, 2026 to Mar 23, 2026
- RAUM · $41B to $43BJan 21, 2026 to Mar 23, 2026
- Wrap assets (manager) · $4.0B to $7.8BJan 21, 2026 to Mar 23, 2026
- Financial planning clients · unset to Mar 24, 2025 to Jul 1, 2025
- Accounts · 20,338 to 14,594Feb 5, 2025 to Mar 24, 2025
- Advisory employees · 169 to 151Feb 5, 2025 to Mar 24, 2025
- BD registered reps · 3 to 7Feb 5, 2025 to Mar 24, 2025
- Charity clients · 218 to 155Feb 5, 2025 to Mar 24, 2025
- Corporate clients · 57 to 75Feb 5, 2025 to Mar 24, 2025
- HNW clients · 18,095 to 13,260Feb 5, 2025 to Mar 24, 2025
- Individual clients · 187 to 45Feb 5, 2025 to Mar 24, 2025
- Pension plan clients · 8 to 7Feb 5, 2025 to Mar 24, 2025
- Employees · 251 to 233Feb 5, 2025 to Mar 24, 2025
- State-registered IARs · 63 to 57Feb 5, 2025 to Mar 24, 2025
- Other offices · 6 to 4Feb 5, 2025 to Mar 24, 2025
- Discretionary RAUM · $44B to $41BFeb 5, 2025 to Mar 24, 2025
- HNW RAUM · $36B to $34BFeb 5, 2025 to Mar 24, 2025
- Individual RAUM · $29.9M to $29.9MFeb 5, 2025 to Mar 24, 2025
- Pension RAUM · $18.2M to $23.0MFeb 5, 2025 to Mar 24, 2025
- RAUM · $44B to $41BFeb 5, 2025 to Mar 24, 2025
- Wrap assets (manager) · $1.7B to $4.0BFeb 5, 2025 to Mar 24, 2025
- Accounts · 20,198 to 20,338Mar 29, 2024 to Apr 29, 2024
- Charity clients · 213 to 218Mar 29, 2024 to Apr 29, 2024
- Corporate clients · 39 to 57Mar 29, 2024 to Apr 29, 2024
- HNW clients · 17,982 to 18,095Mar 29, 2024 to Apr 29, 2024
- Individual clients · 186 to 187Mar 29, 2024 to Apr 29, 2024
- Pension plan clients · 5 to 8Mar 29, 2024 to Apr 29, 2024
Signals
36 dated events
- Bradley Kearns registered as an investment adviser representative at Wells Fargo Investment Institute, Inc.Sep 14, 2026 · Advisor registered · fact
- Brian Wood left Wells Fargo Investment Institute, Inc. for Wells Fargo Advisors (registered 2026-05-18)May 18, 2026 · Advisor changed firm · fact
- Richard Stephen Henry left Wells Fargo Investment Institute, Inc. for Lido (registered 2026-04-17)Mar 24, 2026 · Advisor changed firm · fact
- Mary E Harris left Wells Fargo Investment Institute, Inc. for Wells Fargo Advisors (registered 2026-03-11)Feb 23, 2026 · Advisor changed firm · fact
- Alexander Baran left Wells Fargo Investment Institute, Inc. for Wells Fargo Advisors (registered 2026-06-12)Jan 29, 2026 · Advisor changed firm · fact
- David Behr Lipsey left Wells Fargo Investment Institute, Inc. for Lido (registered 2025-07-24)Jul 23, 2025 · Advisor changed firm · fact
- Wendy Ambrosius Grall left Wells Fargo Investment Institute, Inc. for Charles Schwab Investment Management, Inc (registered 2025-09-11)May 7, 2025 · Advisor changed firm · fact
- David Crawford Beach left Wells Fargo Investment Institute, Inc. for Mill Capital Management, Llc (registered 2026-05-21)Feb 10, 2025 · Advisor changed firm · fact
- Daniel Thomas Miller left Wells Fargo Investment Institute, Inc. for Benjamin F. Edwards & Company, Incorporated (registered 2024-06-26)Jun 20, 2024 · Advisor changed firm · fact
- Jacob R Watson left Wells Fargo Investment Institute, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-09-11)Jun 20, 2024 · Advisor changed firm · fact
- Lauren Michelle Klaiber left Wells Fargo Investment Institute, Inc. for Bragg Financial Advisors Inc (registered 2024-08-22)Jun 20, 2024 · Advisor changed firm · fact
- Matthew Glenn Hollands left Wells Fargo Investment Institute, Inc. for Figure 8 Investment Strategies Llc (registered 2024-09-18)Jun 20, 2024 · Advisor changed firm · fact
- Wells Fargo Investment Institute, Inc. reported 6 offices beyond its principal office, down from 38 (2023-11-15 to 2024-03-29)Mar 29, 2024 · Office count change · derived
- Edward George Rusnak (Director (Board Member)) appeared on Schedule A of Wells Fargo Investment Institute, Inc.Nov 15, 2023 · Control person joined · fact
- Lynn Haley Ronzio (Chief Financial Officer, Treasurer) appeared on Schedule A of Wells Fargo Investment Institute, Inc.Nov 13, 2023 · Control person joined · fact
- M James Franklin (Chief Financial Officer, Treasurer) no longer on Schedule A of Wells Fargo Investment Institute, Inc. (listed 2023-10-10, absent 2023-11-13)Nov 13, 2023 · Control person left · inference
- Brock Weimer left Wells Fargo Investment Institute, Inc. for Edward Jones (registered 2023-09-21)May 15, 2023 · Advisor changed firm · fact
- Wells Fargo Investment Institute, Inc. reported RAUM $38.1B, down 26% from $51.2B (2023-01-17 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Wells Fargo Investment Institute, Inc. reported 38 offices beyond its principal office, up from 33 (2023-01-17 to 2023-03-30)Mar 30, 2023 · Office count change · derived
- Wells Fargo Investment Institute, Inc. reported 62 state-registered advisory representatives, up from 50 (2023-01-17 to 2023-03-30)Mar 30, 2023 · Advisor headcount change · derived
- Stephanie Wo Roncal left Wells Fargo Investment Institute, Inc. for Bailard, Inc. (registered 2022-01-25)Nov 16, 2022 · Advisor changed firm · fact
- Wells Fargo Investment Institute, Inc. reported 33 offices beyond its principal office, up from 13 (2022-01-24 to 2022-03-30)Mar 30, 2022 · Office count change · derived
- Wells Fargo Investment Institute, Inc. reported 50 state-registered advisory representatives, up from 6 (2022-01-24 to 2022-03-30)Mar 30, 2022 · Advisor headcount change · derived
- 2 advisors left Wells Fargo Advisors (ST Louis, MO) for Wells Fargo Investment Institute, Inc. a day apartMar 23, 2022 · Team lift-out · derived
- Wells Fargo Investment Institute, Inc. reported RAUM $51.2B, up 768% from $5.9B (2021-12-14 to 2022-01-10)Jan 10, 2022 · RAUM change · derived
- Thoburn David Lewis (Chief Financial Officer, Treasurer) no longer on Schedule A of Wells Fargo Investment Institute, Inc. (listed 2021-05-28, absent 2021-07-01)Jul 1, 2021 · Control person left · inference
- M James Franklin (Chief Financial Officer, Treasurer) appeared on Schedule A of Wells Fargo Investment Institute, Inc.Jul 1, 2021 · Control person joined · fact
- C Julia Wellborn (Director (Board Member)) no longer on Schedule A of Wells Fargo Investment Institute, Inc. (listed 2021-03-30, absent 2021-04-26)Apr 26, 2021 · Control person left · inference
- Geoffrey Jonathan Weiss (Director (Board Member)) no longer on Schedule A of Wells Fargo Investment Institute, Inc. (listed 2020-07-09, absent 2020-08-10)Aug 10, 2020 · Control person left · inference
- Paul James Steiner (Director (Board Member)) no longer on Schedule A of Wells Fargo Investment Institute, Inc. (listed 2020-07-09, absent 2020-08-10)Aug 10, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Wells Fargo Investment Institute, Inc. · Family Officesshared crd · office
- Wells Fargo Investment Institute, Inc. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 314-354-5814reportedpublic record, Form ADV, Mar 23, 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
- Bank affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $860Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Wells Fargo Investment Institute, Inc. is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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