ALLSPRING GLOBAL INVESTMENTS, LLC
Adviser information for ALLSPRING GLOBAL INVESTMENTS, LLC last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 1015 |
|---|---|
| Investment Advisory/Research | 363 |
| Registered Broker-Dealer Representatives | 127 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 8 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 9,411 | $429.0B |
| Non-Discretionary | 5 | $13.8M |
| Total | 9,416 | $429.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,273 | $1.4B |
| HNW Individuals | 845 | $2.5B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 62 | $308.6B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 142 | $10.8B |
| Pension and profit sharing plans | 79 | $15.5B |
| Charitable organizations | 86 | $7.8B |
| State or municipal gov entities | 74 | $30.2B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 143 | $32.0B |
| Sovereign wealth funds and foreign official institutions | <5 | $749.4M |
| Corporations or other businesses | 306 | $18.3B |
| Other | 3,614 | $1.1B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 27 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 4.8B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SELECT | AMERIPRISE FINANCIAL SERVICES, LLC |
| MAP-MANAGED ACCOUNT PROGRAM | RBC CAPITAL MARKETS, LLC |
| ACCESS | UBS FINANCIAL SERVICES INC. |
| IAP | MANAGED ACCOUNT ADVISORS LLC |
| OUTSIDE MANAGED | RAYMOND JAMES & ASSOCIATES, INC. |
| PRIVATE BANK | CITIGROUP GLOBAL MARKETS INC. |
| P-UMA | WELLS FARGO CLEARING SERVICES, LLC |
| PRIVATE ADVISOR NETWORK | WELLS FARGO CLEARING SERVICES, LLC |
| MANAGER SELECT (MSA) | LPL FINANCIAL LLC |
| GMSSAP | GOLDMAN SACHS & CO. LLC |
| PRIVATE WEALTH | CITIGROUP GLOBAL MARKETS INC. |
| STRATEGIC WEALTH PORTFOLIOS (SWP) | UBS FINANCIAL SERVICES INC. |
| SELECT UMA | CITIGROUP GLOBAL MARKETS INC. |
| SELECT UMA | MORGAN STANLEY |
| IMS-INVESTMENT MGMT SERVICES | MORGAN STANLEY |
| PREMIER ADVISORY | ENVESTNET PMC |
| UMA | SEI INVESTMENTS MANAGEMENT CORP |
| MANAGER ACCOUNT SELECT | CHARLES SCHWAB & CO., INC. |
| MANAGED DIVERSIFIED PORTFOLIOS (MDP) | WELLS FARGO BANK NA |
| MANAGER ACCESS SELECT(RIA) MAS | LPL FINANCIAL LLC |
| CAPITAL DIRECTIONS | PNC INVESTMENTS |
| CONSULTING AND EVAL SERVICES | MORGAN STANLEY |
| UMA | ENVESTNET PMC |
| UMA | OPPENHEIMER ASSET MANAGEMENT |
| UMA | SEI GLOBAL SERVICES INC |
| MANAGER SELECT MODEL DELIVERY | LPL FINANCIAL LLC |
| UMA | WELLS FARGO BANK NA |
| UMA | AMERIPRISE FINANCIAL SERVICES, LLC |
| MAC-MANAGED ACCOUNTS CONSULTING | UBS FINANCIAL SERVICES INC. |
| MANAGER ACCOUNT ACCESS | CHARLES SCHWAB & CO., INC. |
| UMA | FULTON BANK, N.A. |
| RECOMMENDED MANAGER | ROBERT W. BAIRD & CO. INCORPORATED |
| MANAGER SIGNALS | VESTMARK ADVISORY SOLUTIONS, INC. |
| STRATIS | J.P. MORGAN SECURITIES LLC |
| UMA | US BANK, NA |
| PWP | LPL FINANCIAL LLC |
| ADVISORY CHOICE | ROBERT W. BAIRD & CO. INCORPORATED |
| ADVISOR ALLOCATION PROGRAM (AAP) | UBS FINANCIAL SERVICES INC. |
| OPTIMA | MANAGED ACCOUNT ADVISORS LLC |
| SANS | FIDELITY BROKERAGE SERVICES LLC |
| UMA | MOUNT YALE INVESTMENT ADVISORS, LLC |
| UMA | ADHESION WEALTH ADVISOR SOLUTIONS |
| UMA | ASHTON THOMAS PRIVATE WEALTH |
| UMA | ICR PARTNERS |
| FMAX | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC |
| LOCKWOOD | BNY MELLON ADVISORS, INC. |
| LOCKWOOD UMA | BNY MELLON ADVISORS, INC. |
Principal Office
1415 VANTAGE PARK DRIVE3RD FLOOR
CHARLOTTE
NC
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 1-833-568-4255, Fax: None
Chief Compliance Officer
JENNIFER GRUNBERG
SENIOR COMPLIANCE MANAGER
330 MADISON AVENUE
35TH FLOOR
NEW YORK
NY
United States
Tel:
332-282-1759
J****************@******************M
(Full email address available in API data)
Regulatory Contact
JIMMY TRAN
COMPLIANCE MANAGER
101 SEAPORT BLVD
FLOOR 11
BOSTON
MA
United States
Tel:
857-990-1102
J***********@******************M
(Full email address available in API data)
Industry Affiliates
| ALLSPRING FUNDS DISTRIBUTOR, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ALLSPRING FUNDS MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ALLSPRING GLOBAL INVESTMENTS (HONG KONG) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| ALLSPRING GLOBAL INVESTMENTS (JAPAN) LIMITED | Other investment adviser, including financial planners |
| ALLSPRING GLOBAL INVESTMENTS (SINGAPORE) PTE. LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| ALLSPRING GLOBAL INVESTMENTS (UK) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ALLSPRING GLOBAL INVESTMENTS LUXEMBOURG S.A. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GALLIARD CAPITAL MANAGEMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ALL COUNTRY WORLD LOW VOLATILITY EQUITY FUND LP | POOLED INVESTMENT FUND | $50.7M | $5.0M | 2 |
| CLOSED-END BOND FUND, A SERIES OF 525 MARKET STREET FUND, LLC | POOLED INVESTMENT FUND | $358.4M | $5.0M | 11 |
| CLOSED-END INTERNATIONAL EQUITY FUND, A SERIES OF 525 MARKET STREET FUND, LLC | POOLED INVESTMENT VEHICLE | $1,200.0M | $1.0M | 39 |
| CLOSED-END US ALL CAP EQUITY FUND, A SERIES OF 525 MARKET STREET FUND, LLC | POOLED INVESTMENT FUND | $0.0M | $5.0M | 0 |
| EMERGING MARKETS EQUITY FUND, A SERIES OF 525 MARKET STREET FUND, LLC | POOLED INVESTMENT FUND | $952.9M | $5.0M | 32 |
| EMERGING MARKETS EQUITY INCOME FUND, A SERIES OF 525 MARKET STREET FUND, LLC | POOLED INVESTMENT FUND | $287.4M | $5.0M | 12 |
| EMERGING MARKETS LARGE/MID CAP FUND, A SERIES OF 525 MARKET STREET FUND, LLC | POOLED INVESTMENT FUND | $262.7M | $5.0M | 14 |
| GLOBAL LONG SHORT EQUITY FUND II LP | Hedge Fund | $44.6M | $1.0M | 2 |
| GLOBAL LONG SHORT EQUITY FUND LTD | Hedge Fund | $33.9M | $0.5M | 1 |
| HIGH YIELD BOND FUND, A SERIES OF 525 MARKET STREET FUND, LLC | POOLED INVESTMENT FUND | $52.3M | $5.0M | 4 |
| INTERNATIONAL BOND FUND, A SERIES OF 525 MARKET STREET FUND, LLC | POOLED INVESTMENT FUND | $54.5M | $5.0M | 2 |
| RISK ALLOCATOR GROWTH FUND, A SERIES OF 525 MARKET STREET FUND, LLC | POOLED INVESTMENT FUND | $13.7M | $5.0M | 2 |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA VARIABLE CONTRACT ACCOUNT GI-200-7-MONTGOMERY-CFI | POOLED INVESTMENT FUND, INSURANCE COMPANY SEPARATE ACCOUNT | $231.9M | $75.0M | 2 |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA VARIABLE CONTRACT ACCOUNT VCA-GI-200-7-CAPEFF4 | POOLED INVESTMENT FUND;INSURANCE COMPANY SEPARATE ACCOUNT | $102.0M | $75.0M | 1 |
| U.S. CORE FIXED INCOME FUND, A SERIES OF 525 MARKET STREET FUND, LLC | POOLED INVESTMENT FUND | $1,092.5M | $5.0M | 20 |
| US EQUITY MARKET NEUTRAL FUND LP | Hedge Fund | $1.4M | $5.0M | 2 |
| US LOW VOLATILITY FUND LP | POOLED INVESTMENT FUND | $61.3M | $5.0M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SQUIRE, SALLIE, CLEMENTS | Individual | – | CHIEF OPERATING OFFICER | 11/2021 | < 5% |
| BARANKO, FRANCIS, JON | Individual | – | PRESIDENT, CHIEF INVESTMENT OFFICER - GLOBAL FUNDAMENTAL INVESTMENTS | 10/2020 | < 5% |
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS, LLC | Domestic Entity | – | MANAGING MEMBER, DIRECT PARENT COMPANY | 11/2021 | > 75% |
| ALLSPRING BUYER, LLC | Domestic Entity | ALLSPRING GLOBAL INVESTMENTS HOLDINGS, LLC | SHAREHOLDER | 11/2021 | > 75% |
| ALLSPRING INTERMEDIATE II, LLC | Domestic Entity | ALLSPRING BUYER, LLC | SHAREHOLDER | 11/2021 | > 75% |
| ALLSPRING INTERMEDIATE I, LLC | Domestic Entity | ALLSPRING INTERMEDIATE II, LLC | SHAREHOLDER | 11/2021 | > 75% |
| ALLSPRING GROUP HOLDINGS, LLC | Domestic Entity | ALLSPRING INTERMEDIATE I, LLC | SHAREHOLDER | 11/2021 | > 75% |
| GTCR FUND XIII/B LP | Domestic Entity | ALLSPRING GROUP HOLDINGS, LLC | SHAREHOLDER | 11/2021 | 25-50% |
| MCMILLIN, MOLLY, FESTA | Individual | – | CHIEF FINANCIAL OFFICER | 11/2021 | < 5% |
| SULLIVAN, JOSEPH, ANDREW | Individual | ALLSPRING GLOBAL INVESTMENTS HOLDINGS, LLC | MANAGER | 11/2021 | |
| SQUIRE, SALLIE, CLEMENTS | Individual | ALLSPRING GLOBAL INVESTMENTS HOLDINGS, LLC | MANAGER | 11/2021 | |
| MCMILLIN, MOLLY, FESTA | Individual | ALLSPRING GLOBAL INVESTMENTS HOLDINGS, LLC | MANAGER | 11/2021 | |
| GTCR PARTNERS XIII/B LP | Domestic Entity | GTCR FUND XIII/B LP | GENERAL PARTNER | 07/2020 | |
| GTCR INVESTMENT XIII LLC | Domestic Entity | GTCR PARTNERS XIII/B LP | GENERAL PARTNER | 07/2020 | |
| GRUNBERG, JENNIFER, LEA | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2022 | < 5% |