AMERIPRISE FINANCIAL SERVICES, LLC

Latest filing: Sep 18, 2024 (42 days ago)

AUM

$479,793,782,427
16% change vs. 1 year ago
28% change vs. 3 years ago
93% change vs. 5 years ago
213% change vs. 10 years ago

Employee Count

13,903
-2% change vs. 1 year ago
1% change vs. 3 years ago
1% change vs. 5 years ago
12% change vs. 10 years ago

Main Office

MINNEAPOLIS, MN
707 2ND AVENUE SOUTH, MINNEAPOLIS, MN, UNITED STATES, 55402

Client AUM

Discretion AUM
Discretionary $245.4
Non-Discretionary $234.4
Total $479.8
Client AUM
Retail $468.9
Pooled $0.0
Institutional $10.9
Total $479.8
Retail Accounts AUM
Individual 1,134,264 $249.8
Average Individual AUM $220,262
HNW 116,610 $219.1
Average HNW AUM $1,878,902
Retail Total 1,250,874 $468.9
Average Retail AUM $374,885

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM
AMERICAN ENTERPRISE INVESTMENT SERVICES INC. MINNEAPOLIS-MN-USA $479.8

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $479.8
Retail SMA AUM $468.9
Institutional SMA AUM $10.9
Asset Class % AUM
Equity Exch 19% $91.2
Equity Non-Exch 0% $0.0
Govt Agency 1% $4.8
Municipal 1% $4.8
Sovereign 0% $0.0
IG Credit 0% $0.0
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 46% $220.7
Other Pools 27% $129.5
Cash 4% $19.2
Other 1% $4.8
Total 99% $475.0

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC $427.1 108257
PYRFORD INTERNATIONAL LTD $8.6 105646
COLUMBIA WANGER ASSET MANAGEMENT, LLC $6.4 111168
LIONSTONE PARTNERS, LLC $4.4 160214
COLUMBIA CENT CLO ADVISERS, LLC $2.6 310864
THREADNEEDLE INTERNATIONAL LTD. $0.4 131168
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. $0.0 broker-dealer 840
THREADNEEDLE PORTFOLIO SERVICES HONG KONG LIMITED $0.0 broker-dealer -
COLUMBIA THREADNEEDLE INVESTMENT BUSINESS LIMITED $0.0 -
COLUMBIA THREADNEEDLE REP AM PLC $0.0 -
RIVERSOURCE LIFE INSURANCE COMPANY $0.0 -
THREADNEEDLE ASSET MANAGEMENT LIMITED $0.0 -
THREADNEEDLE MANAGEMENT LUXEMBOURG S.A. $0.0 -
THREADNEEDLE INVESTMENTS SINGAPORE (PTE) LIMITED $0.0 -
THREADNEEDLE PENSIONS LIMITED $0.0 -
COLUMBIA THREADNEEDLE FUND MANAGEMENT LIMITED $0.0 -
COLUMBIA THREADNEEDLE MANAGEMENT LIMITED $0.0 -
THREADNEEDLE INVESTMENT SERVICES LIMITED $0.0 broker-dealer -
RIVERSOURCE DISTRIBUTORS, INC. $0.0 broker-dealer 139135
THAMES RIVER CAPITAL LLP $0.0 156432
THREADNEEDLE PORTFOLIO SERVICES AG $0.0 broker-dealer -
AMERICAN ENTERPRISE INVESTMENT SERVICES INC. $0.0 broker-dealer 26506
AMERIPRISE BANK, FSB $0.0 -
AMERIPRISE TRUST COMPANY $0.0 trust company -
COLUMBIA THREADNEEDLE MULTI-MANAGER LLP $0.0 -
COLUMBIA THREADNEEDLE INVESTMENTS JAPAN CO. $0.0 broker-dealer -
COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITED $0.0 -
COLUMBIA THREADNEEDLE INVESTMENTS (ME) LIMITED $0.0 -
RIVERSOURCE LIFE INSURANCE CO. OF NEW YORK $0.0 -
COLUMBIA THREADNEEDLE NETHERLANDS B.V. $0.0 -
AMERIPRISE CAPTIVE INSURANCE COMPANY $0.0 -

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

8 active

Name Title
SWEENEY, JOSEPH EDWARD PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER
DOREN, MITCHELL DAVID REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER)
WILLIAMS, WILLIAM JERRYL DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT
O'CONNELL, PATRICK HUGH DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT
FLEMING, JOSEPH DANIEL SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER
BARTYLLA, JASON SCOTT VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND CONTROLLER

ADVDB.CO • SOURCE: SEC

Representatives

12,721 active representatives found, showing 20 random

Name City State Exams Designations
DOUGLAS SUTTON MINNEAPOLIS MN S63|1997-06-30 CERTIFIED FINANCIAL PLANNER
JEFFREY THRANA MINNEAPOLIS MN S63|1999-03-23|S65|2009-10-16
MITCHELL MAX MINNEAPOLIS MN S66|2021-12-03
ALISON YOUNG-JOHNSON MINNEAPOLIS MN S63|2009-04-10|S66|2009-10-03
MYRA RYAN MINNEAPOLIS MN S66|2018-10-19 CERTIFIED FINANCIAL PLANNER
BENJAMIN BURKLOW MINNEAPOLIS MN S66|2007-04-24
JEFFREY HARTZELL MINNEAPOLIS MN S66|2017-07-21
PHILLIP DAVIS MINNEAPOLIS MN S63|1997-03-04|S65|1998-07-14
GLENN UFLAND MINNEAPOLIS MN S66|2002-06-05
JOHN SWANDA MINNEAPOLIS MN S66|2004-08-02
QUIN GARDNER MINNEAPOLIS MN S66|2007-01-19
TROY NEILY MINNEAPOLIS MN S63|1998-05-06|S66|2001-01-19
ASIA KELLY MINNEAPOLIS MN S66|2023-07-20
COREY HANSEN MINNEAPOLIS MN S66|2023-02-01
THOMAS FOX MINNEAPOLIS MN S63|1991-03-27 CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL CONSULTANT
SARAH WALKER MINNEAPOLIS MN S63|1999-01-09
TUCKER MJELDE MINNEAPOLIS MN S65|2019-03-04|S63|2019-04-01
BRANDON HARRIS MINNEAPOLIS MN S63|1995-05-15|S65|1998-12-16
MICHAEL FITZMORRIS MINNEAPOLIS MN S63|2000-09-13 CERTIFIED FINANCIAL PLANNER
KRISTINE BOOTH MINNEAPOLIS MN S63|2005-09-22|S66|2024-01-06

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-10-01 $479.8 $0.0 0% 13,903 0 0%
2024-04-02 $479.8 $0.0 0% 13,903 0 0%
2023-04-04 $414.4 $65.4 16% 14,187 -284 -2%
2022-04-01 $458.1 $21.7 5% 13,870 33 0%
2021-04-05 $374.3 $105.5 28% 13,798 105 1%
2020-04-01 $313.3 $166.5 53% 13,556 347 3%
2019-04-01 $248.3 $231.5 93% 13,718 185 1%
2018-04-02 $244.2 $235.6 96% 13,020 883 7%
2017-04-01 $198.0 $281.8 142% 12,526 1,377 11%
2016-04-01 $178.1 $301.7 169% 13,922 -19 0%
2015-04-01 $172.9 $306.9 178% 12,500 1,403 11%
2014-04-01 $153.5 $326.3 213% 12,441 1,462 12%
2013-04-01 $124.6 $355.1 285% 12,528 1,375 11%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
MN, AK-12/15/1986, AL-05/03/1991, AR-12/31/1986, AZ-11/22/2005, CA-07/08/1997, CO-01/01/1999, CT-01/16/1998, DC-02/25/1994, DE-07/03/2003, FL-04/03/1987, GA-04/05/1989, HI-02/09/1987, IA-01/01/1999, ID-07/17/1991, IL-12/04/1986, IN-11/08/2000, KS-12/19/1997, KY-11/22/2005, LA-01/18/2001, MD-11/19/1990, ME-01/01/1998, MI-11/22/2005, MN-12/01/1986, MO-07/17/1974, MS-01/18/2001, MT-12/22/1997, NC-10/19/2000, ND-07/14/1989, NE-12/31/1997, NH-01/01/1987, NJ-11/04/2005, NM-12/09/1986, NV-12/10/1990, NY-11/18/1986, OH-07/06/1999, OK-01/01/1998, PA-07/02/1974, PR-12/17/2008, RI-01/01/1995, SC-12/06/1986, SD-12/16/1986, TN-11/10/1997, TX-01/01/1983, UT-12/23/1991, VA-11/22/2005, VI-09/18/2009, VT-01/20/1995, WA-01/01/1987, WI-01/01/1986, WV-10/02/1997, WY-07/05/2017
ADVISER ACTIVITIES
FINANCIAL PLANNING
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (SMB)
PENSION CONSULTING
MANAGER SELECTION
NEWSLETTERS
EDUCATIONAL WORKSHOPS
OTHER ACTIVITIES
BROKER DEALER
COMMODITY TRADING ADVISOR
INSURANCE AGENT

ADVDB.CO • SOURCE: SEC FORM ADV