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.

Former SEC-registered adviser

Wells Capital Management Singapore

Former SEC-registered adviserN/A, CRD 165024SEC 801-76987IAPD
Legal name Wells Fargo Bank, N.A.
Latest filing Oct 14, 2021
First filing on the tape Jul 27, 2012 · 42 filings
RAUM
$16B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$16B as of Mar 31, 2021
Apr 1, 2013$476M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Apr 1, 20130 then
Employees (5.A)3 as of Mar 31, 2021
Apr 1, 20132 then
Private funds: no history
RAUM +17% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 14, 2021; every figure names its basis
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
unknownderivedHNW RAUM over HNW clients
Average account
$5.4BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$16B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Jon Francis Baranko · Director, President, Chief Investment Officer - Global Fundamental Investmentscontrol
        since 10/2020 · owns less than 5%
      • Connolly Siobhan Foy · Director, Senior Vice Presidentcontrol
        since 02/2020 · owns less than 5%
      • James Daniel Mavico · Chief Compliance Officercontrol
        since 03/2019 · owns less than 5%
      • Clements Sallie Squire · Director, Chief Administrative Officercontrol
        since 01/1999 · owns less than 5%
      Entity owners
      • Wfc Holdings LLC · Direct Parent Company Of Wells Fargo Bank, N.A
        direct · owns 75% or more
      • Wells Fargo & Co · Shareholder
        indirect · owns 75% or more of Wfc Holdings LLC · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Wells Capital Management Singapore as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $14B to $16B
        Jan 20, 2021 to Mar 31, 2021
      • RAUM · $14B to $16B
        Jan 20, 2021 to Mar 31, 2021
      • Employees · 2 to 3
        Dec 6, 2019 to Mar 30, 2020
      • Discretionary RAUM · $10B to $14B
        Dec 6, 2019 to Mar 30, 2020
      • RAUM · $10B to $14B
        Dec 6, 2019 to Mar 30, 2020
      • Advisory employees · 3 to 2
        Jan 31, 2019 to Mar 29, 2019
      • Employees · 3 to 2
        Jan 31, 2019 to Mar 29, 2019
      • Discretionary RAUM · $8.9B to $10B
        Jan 31, 2019 to Mar 29, 2019
      • RAUM · $8.9B to $10B
        Jan 31, 2019 to Mar 29, 2019
      • Financial planning clients · unset to 0
        Apr 21, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Discretionary RAUM · $6.1B to $8.9B
        Apr 21, 2017 to Mar 30, 2018
      • RAUM · $6.1B to $8.9B
        Apr 21, 2017 to Mar 30, 2018
      • Accounts · 4 to 3
        Mar 31, 2017 to Apr 21, 2017
      • Discretionary RAUM · $7.2B to $6.1B
        Mar 31, 2017 to Apr 21, 2017
      • RAUM · $7.2B to $6.1B
        Mar 31, 2017 to Apr 21, 2017
      • Discretionary RAUM · $59B to $7.2B
        Oct 31, 2016 to Mar 31, 2017
      • RAUM · $59B to $7.2B
        Oct 31, 2016 to Mar 31, 2017
      • Accounts · 12 to 4
        Oct 13, 2015 to Mar 29, 2016
      • Advisory employees · 2 to 3
        Oct 13, 2015 to Mar 29, 2016
      • Employees · 2 to 3
        Oct 13, 2015 to Mar 29, 2016
      • Discretionary RAUM · $322M to $59B
        Oct 13, 2015 to Mar 29, 2016
      • RAUM · $322M to $59B
        Oct 13, 2015 to Mar 29, 2016
      • Accounts · 10 to 12
        Mar 2, 2015 to Mar 30, 2015
      • Discretionary RAUM · $640M to $322M
        Mar 2, 2015 to Mar 30, 2015
      • RAUM · $640M to $322M
        Mar 2, 2015 to Mar 30, 2015
      • Accounts · 11 to 10
        Nov 26, 2013 to Mar 31, 2014
      • Discretionary RAUM · $476M to $640M
        Nov 26, 2013 to Mar 31, 2014
      • RAUM · $476M to $640M
        Nov 26, 2013 to Mar 31, 2014
      • Accounts · unset to 11.0
        Dec 20, 2012 to Apr 1, 2013
      • Advisory employees · 1 to 2
        Dec 20, 2012 to Apr 1, 2013
      • Employees · 1 to 2
        Dec 20, 2012 to Apr 1, 2013
      • Discretionary RAUM · unset to 476252951.0
        Dec 20, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · unset to 0.0
        Dec 20, 2012 to Apr 1, 2013
      • RAUM · unset to 476252951.0
        Dec 20, 2012 to Apr 1, 2013
      • Related bank · false to true
        Dec 20, 2012 to Apr 1, 2013
      • Advisory activities · 1 to 2
        Nov 8, 2012 to Dec 20, 2012
      • Advisory employees · unset to 1.0
        Oct 23, 2012 to Nov 8, 2012
      • BD registered reps · unset to 0.0
        Oct 23, 2012 to Nov 8, 2012
      • Employees · unset to 1.0
        Oct 23, 2012 to Nov 8, 2012
      Signals
      10 dated events
      • Douglas Kirk Hartman (Director,President, Chief Investment Officer) no longer on Schedule A of Wells Capital Management Singapore (listed 2020-07-28, absent 2021-01-20)
        Jan 20, 2021 · Control person left · inference
      • Wells Capital Management Singapore reported RAUM $13.8B, up 37% from $10.1B (2019-12-06 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Lee Karen Norton (Chief Operations Officer) no longer on Schedule A of Wells Capital Management Singapore (listed 2019-12-06, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Douglas Kirk Hartman (Director,President, Chief Investment Officer) appeared on Schedule A of Wells Capital Management Singapore
        Mar 30, 2020 · Control person joined · fact
      • Clements Sallie Squire (Director,Evp, Chief Administrative Officer) appeared on Schedule A of Wells Capital Management Singapore
        Mar 30, 2020 · Control person joined · fact
      • Connolly Siobhan Foy (Director) appeared on Schedule A of Wells Capital Management Singapore
        Mar 30, 2020 · Control person joined · fact
      • James Daniel Mavico (Chief Compliance Officer) appeared on Schedule A of Wells Capital Management Singapore
        Mar 29, 2019 · Control person joined · fact
      • Connolly Siobhan Foy (Chief Compliance Officer) no longer on Schedule A of Wells Capital Management Singapore (listed 2019-01-31, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Wells Capital Management Singapore reported RAUM $8.9B, up 46% from $6.1B (2017-04-21 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      • Wells Capital Management Singapore filed its initial SEC registration (Form ADV)
        Jul 27, 2012 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Former SEC-registered adviserderiveda 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