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

Ameriprise Financial Services, LLC

National broker-dealer RIAMinneapolis, MinnesotaCRD 6363SEC 801-28543website IAPD

Latest filing Sep 2, 2026

First filing on the tape Nov 29, 2011 · 140 filings

SEC status approved since Dec 5, 1986

RAUM

$660B

reported, Item 5.F

Discretionary

54%

of RAUM

Private clients

98%

$647B individuals and HNW

Advisors

13,078

registered through the firm on IAPD

RAUM per advisor

$50.5M

derived; firm RAUM over IAPD count

Employees

14,056

12,681 advisory (5.B.1)

Offices

158

beyond the principal office

Private funds

reported on Schedule D

History

140 filings and snapshots on the tape

RAUM$660B as of Jun 26, 2026

Mar 30, 2012$103B then

HNW client RAUM$368B as of Jun 26, 2026

Mar 28, 2018$67B then

State-registered IARs (5.B.3)12,771 as of Jun 26, 2026

Mar 28, 20139,514 then

Employees (5.A)14,056 as of Jun 26, 2026

Mar 28, 201312,528 then

Private funds: no history

RAUM +17% over the last fiscal year+17% a year over threeIARs 12,600 to 12,771offices 157 to 158

Practice profile

derived from the filing of Sep 2, 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)
HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $50.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 105derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.0MderivedHNW RAUM over HNW clients
Average account: $272,468derivedRAUM over accounts (5.F.2.f)
Discretionary: 54%derivedof RAUM
Institutional: 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.1derivedItem 5.A over advisors
Advisors per office: 82.3derived159 offices incl. principal (1.F.5)
RAUM growth, one year: +17%derivedbetween the last two annual amendments
Advisor growth, one year: +1.4%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.2%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
Financial planning clients: 628,500reportedItem 5.H
Wrap fee program: $660BreportedItem 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

is a broker-dealer (6.A.1)
is an insurance broker or agent (6.A.6)
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)
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)
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

High-net-worth individuals$368B56%
Individuals$278B42%
Pension and profit-sharing plans$5.0B0.8%
Corporations and businesses$4.1B0.6%
Charitable organizations$3.0B0.5%
State and municipal entities$1.4B0.2%
Insurance companies$8.6M0.0%

Individual clients: 1,189,138reported
HNW clients: 183,925reported
Pension plan clients: 7,105reported
Charitable clients: 2,335reported
Accounts: 2,424,045reported
Financial planning clients: 628,500reported
Wrap fee programs: $655B sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: curated national broker-dealer listderived

Advisors registered through the firm

12,704 on IAPD today, longest tenure first

Name	Branch	Here since	In industry
David J Heffernan	Harlingen, Tx	Oct 1, 1985	40 y
Sanda Elizabeth BaileyCertified Financial Planner	San Antonio, Tx	Dec 9, 1985	40 y
Barry Lynn StockdaleCertified Financial Planner	Plano, Tx	Feb 26, 1986	33 y
Jimmy Reed MiddlebrookCertified Financial Planner	Plano, Tx	Mar 26, 1986	40 y
Richard N DallenCertified Financial Planner	Brookfield, Wi	Jun 11, 1986	40 y
Joseph William StroedeCertified Financial Planner	Fond Du Lac, Wi	Aug 29, 1986	40 y
Bruce H QuickCertified Financial Planner, Chartered Financial Consultant	Houston, Tx	Nov 19, 1986	39 y
Rick Allan NapholzCertified Financial Planner	Brookfield, Wi	Dec 24, 1986	44 y
Pamela Shiflet Turner	Huntsville, Tx	Dec 24, 1986	21 y
Guy Michael AcerraCertified Financial Planner	San Antonio, Tx	Dec 24, 1986	44 y
M C Tyer	Austin, Tx	Dec 24, 1986	21 y
Donna Rita Uliva	Bellaire, Tx	Dec 24, 1986	27 y
Anna Blekher	Allen, Tx	Dec 24, 1986	24 y
Sharon Mcclanahan Ward	Houston, Tx	Dec 24, 1986	21 y
Randall Scott LindeCertified Financial Planner	Renton, Wa	Jan 1, 1987	40 y
Marvin Lee Mc Kenzie	Kennewick, Wa	Jan 1, 1987	41 y
James Michael Navone	Seattle, Wa	Jan 1, 1987	43 y
Kim Ann Bosold	Spokane, Wa	Jan 1, 1987	41 y
Pietro Razzino	Shelton, Ct	Jan 6, 1987	36 y
Billie Carol Pettey	Tyler, Tx	Jan 21, 1987	39 y
Thomas Vincent NicolosiCertified Financial Planner	Staten Island, Ny	Jan 31, 1987	38 y
Laura Lee Fish-Kelly	East Hartford, Ct	Jan 31, 1987	35 y
Constantine Papyannakis Kalivas	Oxford, Ct	Jan 31, 1987	42 y
Lester Harold Butnick	Glastonbury, Ct	Jan 31, 1987	30 y
Thomas Steven MartinCertified Financial Planner	Batesville, Ar	Feb 3, 1987	33 y
Stephen Miller Parkin	Saint Augustine, Fl	Apr 3, 1987	21 y
Joseph Robert Rettig	Spring Hill, Fl	Apr 3, 1987	43 y
Joan Loretta Coke	Ocala, Fl	Apr 3, 1987	40 y
Jennifer Todd NashCertified Financial Planner	Tallahassee, Fl	Apr 3, 1987	41 y
Mark Steven Galaini	Lake Worth, Fl	Apr 3, 1987	21 y
Lance Norman Becatti	Tampa, Fl	Apr 3, 1987	42 y
Richard Earnest D'Augelli	Boca Raton, Fl	Apr 3, 1987	34 y
Carroll Thomas Clark	Miami, Fl	Apr 3, 1987	45 y
Jeffrey Robert Christopher	Stuart, Fl	Apr 3, 1987	33 y
Mark Robert Prue	Zephyrhills, Fl	Apr 3, 1987	29 y
John Michael ReynoldsCertified Financial Planner	Myakka City, Fl	Apr 3, 1987	41 y
John Phillip Dezzutti	Danbury, Ct	Apr 9, 1987	39 y
Sandra Christine Smiley	Kaneohe, Hi	Apr 20, 1987	40 y
George Tokuo MurakamiCertified Financial Planner	Honolulu, Hi	Apr 20, 1987	42 y
Gaylien Haunani Quindica Rafferty	Wichita, Ks	Apr 20, 1987	40 y

All 12,704 advisors at Ameriprise Financial Services, LLC

Advisor movement

632 left, 551 joined in 12 months

net -81 in 12 months138 left in 90 days139 joined in 90 daysdeparture rate 4.8% of current headcount1,744 left over 36 months

Left, latest

Susan Elizabeth Mclain to Wells Fargo Advisors
Sep 15, 2026 · Affiliated broker-dealer or bank to wirehouse
Rey Deborja to Osaic Wealth, Inc.
Sep 15, 2026 · Affiliated broker-dealer or bank to another
Ingrid Miller to Tbg-Bedford Group LLC
Sep 14, 2026 · Affiliated broker-dealer or bank to independent RIA
William Arthur Stephenson to Rise Private Wealth Management
Sep 14, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Dabney Baum to Wells Fargo Advisors
Sep 11, 2026 · Affiliated broker-dealer or bank to wirehouse
Christopher C Johnson to Morgan Stanley
Sep 10, 2026 · Affiliated broker-dealer or bank to wirehouse
Richard Allan Baum to Wells Fargo Advisors
Sep 10, 2026 · Affiliated broker-dealer or bank to wirehouse
Nicholas Richard Menzies to Truist Advisory Services, Inc.
Sep 4, 2026 · Affiliated broker-dealer or bank to another
Sam Te Su to Aegis Capital Corp.
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Regina Mckelvey Spehl to Wells Fargo Advisors
Sep 2, 2026 · Affiliated broker-dealer or bank to wirehouse
Molly Grimm to LPL Financial LLC
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Sean Kilmurray to UBS Financial Services Inc.
Sep 2, 2026 · Affiliated broker-dealer or bank to wirehouse
David J Naber to LPL Financial LLC
Sep 2, 2026 · Affiliated broker-dealer or bank to another
William Michael Mcdonald to LPL Financial LLC
Sep 2, 2026 · Affiliated broker-dealer or bank to another
Quintin J Gardner to Raymond James & Associates, Inc.
Sep 2, 2026 · Affiliated broker-dealer or bank to another

Joined, latest

Rachel Rabin from Columbia Management Investment Advisers, LLC
Sep 15, 2026 · Other
Jacob J Worthen from The Advocate Group, LLC
Sep 15, 2026 · RIA to affiliated broker-dealer or bank
Kinsey Adair Parker from Wells Fargo Advisors
Sep 14, 2026 · Wirehouse to affiliated broker-dealer or bank
Toby Marshall Johnston from Planmember Securities Corporation
Sep 11, 2026 · RIA to affiliated broker-dealer or bank
Colin Gates from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Sep 11, 2026 · Wirehouse to affiliated broker-dealer or bank
Cristina Montenegro from Edward Jones
Sep 11, 2026 · Affiliated broker-dealer or bank to another
James Luke Copley from Wells Fargo Advisors
Sep 9, 2026 · Wirehouse to affiliated broker-dealer or bank
Guilen Sebastian Brandon from Florida Financial Advisors, LLC
Sep 9, 2026 · Affiliated broker-dealer or bank to another
Sean Wilson Sabol from Vanguard Advisers, Inc.
Sep 8, 2026 · Affiliated broker-dealer or bank to another
Tony F Haeussler from J.P. Morgan Securities LLC
Sep 8, 2026 · Wirehouse to affiliated broker-dealer or bank
Dominic Occhiuzzo from RBC Capital Markets, LLC
Sep 4, 2026 · Affiliated broker-dealer or bank to another
Evans Lee Taylor from Cetera Investment Advisers LLC
Sep 4, 2026 · Affiliated broker-dealer or bank to another
Courtney Katie Robert from Wells Fargo Advisors
Sep 4, 2026 · Wirehouse to affiliated broker-dealer or bank
Shane Davis from LPL Enterprise, LLC
Sep 4, 2026 · Affiliated broker-dealer or bank to another
David Harold Greer from Pnc Wealth Management
Sep 4, 2026 · Affiliated broker-dealer or bank to another

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for Wells Fargo Advisors
Sep 10, 2026 · Wellesley Hills, Ma
2 left for Aegis Capital Corp.
Sep 1, 2026 · San Francisco, Ca
2 left for UBS Financial Services Inc.
Sep 1, 2026 · Fairfield, Ct
2 left for LPL Financial LLC
Aug 28, 2026 · Waxhaw, Nc
4 left for LPL Financial LLC
Aug 28, 2026 · Hilliard, Oh
3 left for Raymond James Financial Services Advisors, Inc
Aug 27, 2026 · Boynton Beach, Fl
2 left for Wells Fargo Advisors
Aug 27, 2026 · Calabasas, Ca
2 left for LPL Financial LLC
Aug 26, 2026 · Twn And Cntry, Mo

2 joined from LPL Financial LLC
Sep 2, 2026 · Russellville, Ar
10 joined from Raymond James Financial Services Advisors, Inc
Aug 31, 2026 · Midwest City, Ok
2 joined from Edward Jones
Aug 31, 2026 · Spring, Tx
3 joined from RBC Capital Markets, LLC
Aug 21, 2026 · Denver, Co
3 joined from Osaic Wealth, Inc.
Jul 29, 2026 · Irvine, Ca
3 joined from LPL Financial LLC
Jul 24, 2026 · Indiana, Pa
3 joined from Janney Montgomery Scott LLC
Jun 29, 2026 · Ft Lauderdale, Fl
2 joined from Edward Jones
Jun 17, 2026 · Seguin, Tx

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Jason Scott Bartylla · Vice President, Chief Financial Officer And Controllercontrol
since 05/2022 · owns less than 5%
Mitchell David Doren · Region Vice President (Texas Designated Officer)control
since 02/2016 · owns less than 5%
Joseph Daniel Fleming · Senior Vice President And Chief Compliance Officercontrol
since 02/2018 · owns less than 5%
Patrick Hugh O'Connell · Director, Executive Vice President-Field Managementcontrol
since 03/2016 · owns less than 5%
Joseph Edward Sweeney · President, Chairman And Chief Executive Officercontrol
since 04/2015 · owns less than 5%
William Jerryl Williams · Director, Executive Vice President-Field Managementcontrol
since 03/2016 · owns less than 5%

Entity owners

Ampf Holding, LLC · Shareholder
direct · owns 75% or more
Ameriprise Financial, Inc. · 100% Owner Of Parent Company
indirect · owns 75% or more of Ampf Holding, LLC · public reporting company

Related persons

Schedule D 7.A

American Enterprise Investment Services Inc.
broker-dealercustodiann
Ameriprise Bank, Fsb
n
Ameriprise Captive Insurance Company
real estaten
Ameriprise Trust Company
bankn
Columbia Cent Clo Advisers, LLC
investment advisernRAUM $3.0B
Columbia Management Investment Advisers, LLC
investment adviserbanknRAUM $502B
Columbia Management Investment Distributors, Inc.
broker-dealern
Columbia Threadneedle (Em) Investments Limited
investment advisern
Columbia Threadneedle Fund Management Limited
investment advisern
Columbia Threadneedle Investment Business Limited
investment advisern
Columbia Threadneedle Investments (Me) Limited
investment advisern
Columbia Threadneedle Investments Japan Co.
broker-dealern
Columbia Threadneedle Management Limited
investment advisern
Columbia Threadneedle Multi-Manager Llp
investment advisern
Columbia Threadneedle Netherlands B.V.
investment advisern
Columbia Threadneedle Rep Am Plc
investment advisern
Columbia Wanger Asset Management, LLC
investment advisernRAUM $5.8B
Lionstone Investments
investment adviserbankpooled vehicle sponsornRAUM $224M
Pyrford International Ltd
investment advisernRAUM $7.1B
Riversource Distributors, Inc.
broker-dealern
Riversource Life Insurance Co. Of New York
real estaten
Riversource Life Insurance Company
real estaten
Thames River Capital Llp
investment advisernRAUM $3.1B
Threadneedle Asset Management Limited
investment advisern
Columbia Threadneedle Investments
investment adviserbanknRAUM $358M
Threadneedle Investment Services Limited
broker-dealern
Threadneedle Investments Singapore (Pte) Limited
investment advisern
Threadneedle Management Luxembourg S.A.
investment adviserpooled vehicle sponsorn
Threadneedle Pensions Limited
real estaten
Threadneedle Portfolio Services Ag
broker-dealern

Advisers that list Ameriprise Financial Services, LLC as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out
Minneapolis, Mn · principal	630	85	12	1
Edina, Mn	226	15	0
Houston, Tx	213	12	10	1
Las Vegas, Nv	133	15	10
New York, Ny	132	16	7	2
Boca Raton, Fl	131	20	4	1
Charlotte, Nc	122	23	10
Troy, Mi	119	4	2
Columbus, Oh	114	25	3	1
Honolulu, Hi	111	10	0
Atlanta, Ga	111	8	2
Scottsdale, Az	111	11	0
Dallas, Tx	89	2	2
Plano, Tx	89	7	6	1
Chicago, Il	86	10	4
Austin, Tx	86	4	5	1
Portland, Or	84	10	2
Tampa, Fl	83	8	5
San Diego, Ca	82	10	3	1
Indianapolis, In	81	10	0

All 60 offices

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 3 since 2015, 0 in 24 monthsderived
Advisors acquired: 24derived
Still registered after 90 days: 96% of 24derived
After 180 days: 96% of 24derived
After 365 days: 96% of 24derived
After 730 days: 96% of 24derived
Team lift-outs after: 224derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

West Linn, OR359 employees
Rye Brook, NY339 employees
Grapevine, TX331 employees
Philadelphia, PA318 employees
New Durham, NH290 employees
Cottage Grove, MN251 employees
Alpharetta, GA246 employees
Fort Washington, MD229 employees
Howell, MI219 employees
St Cloud, MN219 employees
Storm Lake, IA213 employees
Braintree, MA209 employees
Middleton, WI206 employees
Phoenixville, PA200 employees
Winter Garden, FL185 employees
Goshen, KY178 employees
Schaumburg, IL177 employees
San Luis Obispo, CA171 employees
San Mateo, CA167 employees
Sarasota, FL156 employees
Edina, MN152 employees
Chesapeake, VA148 employees
Magnolia, AR147 employees
Watkinsville, GA140 employees
Worthington, OH139 employees

What changed

consecutive filings, newest first

Financial planning clients · More than 500 to More than 500
Jun 26, 2026 to Sep 2, 2026
Succession · false to unset
Jun 26, 2026 to Sep 2, 2026
Accounts · 2,281,153 to 2,424,045
Sep 26, 2025 to Mar 27, 2026
Advisory employees · 12,636 to 12,681
Sep 26, 2025 to Mar 27, 2026
BD registered reps · 13,338 to 13,441
Sep 26, 2025 to Mar 27, 2026
Charity clients · 2,337 to 2,335
Sep 26, 2025 to Mar 27, 2026
Corporate clients · 3,117 to 3,260
Sep 26, 2025 to Mar 27, 2026
HNW clients · 148,045 to 183,925
Sep 26, 2025 to Mar 27, 2026
Individual clients · 1,169,233 to 1,189,138
Sep 26, 2025 to Mar 27, 2026
Pension plan clients · 6,953 to 7,105
Sep 26, 2025 to Mar 27, 2026
Employees · 14,000 to 14,056
Sep 26, 2025 to Mar 27, 2026
Insurance-licensed employees · 1 to 2
Sep 26, 2025 to Mar 27, 2026
State-registered IARs · 12,600 to 12,771
Sep 26, 2025 to Mar 27, 2026
Other offices · 157 to 158
Sep 26, 2025 to Mar 27, 2026
Discretionary RAUM · $295B to $356B
Sep 26, 2025 to Mar 27, 2026
HNW RAUM · $287B to $368B
Sep 26, 2025 to Mar 27, 2026
Individual RAUM · $266B to $278B
Sep 26, 2025 to Mar 27, 2026
Non-discretionary RAUM · $270B to $304B
Sep 26, 2025 to Mar 27, 2026
Pension RAUM · $4.5B to $5.0B
Sep 26, 2025 to Mar 27, 2026
RAUM · $565B to $660B
Sep 26, 2025 to Mar 27, 2026
Wrap assets (sponsor) · $559B to $655B
Sep 26, 2025 to Mar 27, 2026
Financial planning clients · More than 500 to More than 500
Jun 27, 2025 to Jul 25, 2025
Accounts · 2,284,921 to 2,281,153
Feb 28, 2025 to Mar 28, 2025
Advisory employees · 12,518 to 12,636
Feb 28, 2025 to Mar 28, 2025
BD registered reps · 13,881 to 13,338
Feb 28, 2025 to Mar 28, 2025
Charity clients · 2,236 to 2,337
Feb 28, 2025 to Mar 28, 2025
Corporate clients · 3,083 to 3,117
Feb 28, 2025 to Mar 28, 2025
HNW clients · 116,610 to 148,045
Feb 28, 2025 to Mar 28, 2025
Individual clients · 1,134,264 to 1,169,233
Feb 28, 2025 to Mar 28, 2025
Pension plan clients · 6,934 to 6,953
Feb 28, 2025 to Mar 28, 2025
Employees · 13,903 to 14,000
Feb 28, 2025 to Mar 28, 2025
Insurance-licensed employees · 2 to 1
Feb 28, 2025 to Mar 28, 2025
State-registered IARs · 12,435 to 12,600
Feb 28, 2025 to Mar 28, 2025
Other offices · 150 to 157
Feb 28, 2025 to Mar 28, 2025
Discretionary RAUM · $245B to $295B
Feb 28, 2025 to Mar 28, 2025
HNW RAUM · $219B to $287B
Feb 28, 2025 to Mar 28, 2025
Individual RAUM · $250B to $266B
Feb 28, 2025 to Mar 28, 2025
Non-discretionary RAUM · $234B to $270B
Feb 28, 2025 to Mar 28, 2025
Pension RAUM · $4.0B to $4.5B
Feb 28, 2025 to Mar 28, 2025
RAUM · $480B to $565B
Feb 28, 2025 to Mar 28, 2025

Signals

60 dated events

Jacqueline F Vaughan no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Bruce Leonard Ruotsala no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Luke A Frasso no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Mark Henry Bollum no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Patrick W Miller registered as an investment adviser representative at Ameriprise Financial Services, Llc
Sep 16, 2026 · Advisor registered · fact
Thomas Laverty registered as an investment adviser representative at Ameriprise Financial Services, Llc
Sep 16, 2026 · Advisor registered · fact
Mason Oteri registered as an investment adviser representative at Ameriprise Financial Services, Llc
Sep 16, 2026 · Advisor registered · fact
Cody Nicpon added a TX registration at Ameriprise Financial Services, Llc
Sep 16, 2026 · New state registration · fact
Julianne S Wolfe added a VA registration at Ameriprise Financial Services, Llc
Sep 16, 2026 · New state registration · fact
Jacob J Worthen registered as an investment adviser representative at Ameriprise Financial Services, Llc
Sep 15, 2026 · Advisor registered · fact
Jonathon Jay Hornbeck no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
Joseph B Rowan no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
Cherie Curry no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
Sharon R Schoffmann no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
Rey Deborja no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-15 feed)
Sep 15, 2026 · Advisor registration ended · derived
Rachel Rabin registered as an investment adviser representative at Ameriprise Financial Services, Llc
Sep 15, 2026 · Advisor registered · fact
Robert W Knabel registered as an investment adviser representative at Ameriprise Financial Services, Llc
Sep 15, 2026 · Advisor registered · fact
Christopher Griffin registered as an investment adviser representative at Ameriprise Financial Services, Llc
Sep 15, 2026 · Advisor registered · fact
Milla Krasnopolsky added a TX registration at Ameriprise Financial Services, Llc
Sep 15, 2026 · New state registration · fact
Thomas Weaver added a GA registration at Ameriprise Financial Services, Llc
Sep 15, 2026 · New state registration · fact
Evans Lee Taylor added a HI registration at Ameriprise Financial Services, Llc
Sep 15, 2026 · New state registration · fact
Susan Elizabeth Mclain left Ameriprise Financial Services, LLC for Wells Fargo Advisors (registered 2026-09-11)
Sep 15, 2026 · Advisor changed firm · fact
Rey Deborja left Ameriprise Financial Services, LLC for Osaic Wealth, Inc. (registered 2026-09-16)
Sep 15, 2026 · Advisor changed firm · fact
Sam Grosso no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-14 feed)
Sep 14, 2026 · Advisor registration ended · derived
Hilary Bracken no longer holds an investment adviser registration (last listed at Ameriprise Financial Services, Llc on the 2026-09-14 feed)
Sep 14, 2026 · Advisor registration ended · derived
Kinsey Adair Parker registered as an investment adviser representative at Ameriprise Financial Services, Llc
Sep 14, 2026 · Advisor registered · fact
Pablo Raphael Zeiter registered as an investment adviser representative at Ameriprise Financial Services, Llc
Sep 14, 2026 · Advisor registered · fact
Brandon P Cuervo registered as an investment adviser representative at Ameriprise Financial Services, Llc
Sep 14, 2026 · Advisor registered · fact
Sarah Frances Aluise added a OH registration at Ameriprise Financial Services, Llc
Sep 14, 2026 · New state registration · fact
Jack Hudnut added a NC registration at Ameriprise Financial Services, Llc
Sep 14, 2026 · New state registration · fact

Across DFX

shared identifiers only, never a name match

Ameriprise Financial Services, Inc. · Independent Sponsors
shared crd · intermediary
Ameriprise Financial Services, Inc. · Private Equity
shared crd · intermediary

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/ameriprise-financial-services-llcreportedpublic record, Form ADV, Sep 17, 2026
Website: ameripriseadvisors.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 612-671-3131reportedpublic record, Form ADV, Sep 2, 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: National broker-dealer RIAderiveda rule over Items 5.D and 7.A
RAUM per advisor: $50.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026