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