Hedge Fund Database

AMERIPRISE FINANCIAL SERVICES, LLC

Adviser information for AMERIPRISE FINANCIAL SERVICES, LLC last updated from Form ADV on March 28th, 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 13903
Investment Advisory/Research 12518
Registered Broker-Dealer Representatives 13881
Registered State Investment Advisers 12435
Licensed Agents of an Insurance Company 11732
No. of Firms/People that Solicit Clients 185

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1.3M $245.4B
Non-Discretionary 951,365 $234.4B
Total 2.3M $479.8B

Clients

Type Number RAUM
Individuals 1.1M $249.8B
HNW Individuals 116,610 $219.1B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 6,934 $4.0B
Charitable organizations 2,236 $2.4B
State or municipal gov entities 568 $1.1B
Other investment advisers 0 $0
Insurance companies 16 $16.7M
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 3,083 $3.3B
Other 10 $8.6M
Type Number
No. of Non-RAUM Clients 140938
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 624500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshopsASSET ALLOCATION SERVICES
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Broker-dealerCommodity pool operator or commodity trading advisorInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 474.2B
Portfolio Manager 0
Both for Same 5.6B
Portfolio Manager to Program Sponsor
SELECT SEPARATE ETF PORTFOLIOS AMERIPRISE FINANCIAL SERVICES, LLC

Identifiers

SEC RIA File Number 801-28543
SEC ERA File Number 801-28543
SEC CIK Numbers 1543099, 49709
SEC CRD Numbers 6363
Legal Entity Identifier None

Principal Office

707 2ND AVENUE SOUTH
MINNEAPOLIS
MN
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 612-671-3131, Fax: 612-671-4929

Websites

www.linkedin.com/company/ameriprise-financial-services-llc www.youtube.com/channel/ucgajgrvprl9xry2sait6zxa ameriprise.com www.instagram.com/ameriprise www.ameriprise.com www.youtube.com/user/ameriprise www.facebook.com/ameriprise www.linkedin.com/company/3032 twitter.com/ameriprise www.ameripriseadvisors.com

Chief Compliance Officer

JOSEPH FLEMING
SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER
2604 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
United States
Tel: 612-671-7114
Fax: 612-671-1193
(Full email address available in API data)

Regulatory Contact

MARK MAROTZ
LEGAL AFFAIRS MANAGER
50611 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
United States
Tel: 612-671-6366
Fax: 612-678-0081
(Full email address available in API data)

Industry Affiliates

AMERICAN ENTERPRISE INVESTMENT SERVICES INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
AMERIPRISE BANK, FSB Banking or thrift institution
AMERIPRISE CAPTIVE INSURANCE COMPANY Insurance company or agency
AMERIPRISE TRUST COMPANY Commodity pool operator or commodity trading advisorTrust company
COLUMBIA CENT CLO ADVISERS, LLC Other investment adviser, including financial planners
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITED Other investment adviser, including financial planners
COLUMBIA THREADNEEDLE FUND MANAGEMENT LIMITED Other investment adviser, including financial planners
COLUMBIA THREADNEEDLE INVESTMENT BUSINESS LIMITED Other investment adviser, including financial planners
COLUMBIA THREADNEEDLE INVESTMENTS Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
COLUMBIA THREADNEEDLE INVESTMENTS (ME) LIMITED Other investment adviser, including financial planners
COLUMBIA THREADNEEDLE INVESTMENTS JAPAN CO. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
COLUMBIA THREADNEEDLE MANAGEMENT LIMITED Other investment adviser, including financial planners
COLUMBIA THREADNEEDLE MULTI-MANAGER LLP Other investment adviser, including financial planners
COLUMBIA THREADNEEDLE NETHERLANDS B.V. Other investment adviser, including financial planners
COLUMBIA THREADNEEDLE REP AM PLC Other investment adviser, including financial planners
COLUMBIA WANGER ASSET MANAGEMENT, LLC Other investment adviser, including financial planners
LIONSTONE INVESTMENTS Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
PYRFORD INTERNATIONAL LTD Other investment adviser, including financial planners
RIVERSOURCE DISTRIBUTORS, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
RIVERSOURCE LIFE INSURANCE CO. OF NEW YORK Insurance company or agency
RIVERSOURCE LIFE INSURANCE COMPANY Insurance company or agency
THAMES RIVER CAPITAL LLP Other investment adviser, including financial planners
THREADNEEDLE ASSET MANAGEMENT LIMITED Other investment adviser, including financial planners
THREADNEEDLE INVESTMENT SERVICES LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealer
THREADNEEDLE INVESTMENTS SINGAPORE (PTE) LIMITED Other investment adviser, including financial planners
THREADNEEDLE MANAGEMENT LUXEMBOURG S.A. Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
THREADNEEDLE PENSIONS LIMITED Insurance company or agency
THREADNEEDLE PORTFOLIO SERVICES AG Broker-dealer, municipal securities dealer, or gov securities broker or dealer
THREADNEEDLE PORTFOLIO SERVICES HONG KONG LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealer

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
SWEENEY, JOSEPH EDWARD Individual – PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER 04/2015 < 5%
AMPF HOLDING, LLC Domestic Entity – SHAREHOLDER 10/2009 > 75%
AMERIPRISE FINANCIAL, INC. Domestic Entity AMPF HOLDING, LLC 100% OWNER OF PARENT COMPANY 10/2009 > 75%
DOREN, MITCHELL DAVID Individual – REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) 02/2016 < 5%
WILLIAMS, WILLIAM JERRYL Individual – DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT 03/2016 < 5%
O'CONNELL, PATRICK HUGH Individual – DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT 03/2016 < 5%
FLEMING, JOSEPH DANIEL Individual – SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER 02/2018 < 5%
BARTYLLA, JASON SCOTT Individual – VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND CONTROLLER 05/2022 < 5%

No. Employees, Historic

20,00010,0000201920202021202220232024202513718 on 5/16/201913718 on 6/27/201913718 on 7/31/201913718 on 9/13/201913718 on 11/4/201913718 on 12/20/201913718 on 1/22/202013718 on 2/10/202013718 on 3/16/202013556 on 3/26/202013556 on 4/10/202013556 on 5/28/202013556 on 6/15/202013556 on 6/19/202013556 on 8/10/202013556 on 8/18/202013556 on 9/22/202013556 on 11/10/202013556 on 11/30/202013556 on 1/12/202113556 on 2/9/202113798 on 3/25/202113798 on 4/23/202113798 on 6/17/202113798 on 7/28/202113798 on 10/20/202113798 on 12/16/202113870 on 3/25/202213870 on 3/29/202213870 on 4/12/202213870 on 6/9/202213870 on 6/16/202213870 on 7/18/202213870 on 9/16/202213870 on 12/16/202214187 on 3/22/202314187 on 6/7/202314187 on 9/21/202314187 on 11/7/202314187 on 1/12/202413903 on 3/28/2024

RAUM, Historic

500B250B02019202020212022202320242025248321915989 on 5/16/2019248321915989 on 6/27/2019248321915989 on 7/31/2019248321915989 on 9/13/2019248321915989 on 11/4/2019248321915989 on 12/20/2019248321915989 on 1/22/2020248321915989 on 2/10/2020248321915989 on 3/16/2020313282403322 on 3/26/2020313282403322 on 4/10/2020313282403322 on 5/28/2020313282403322 on 6/15/2020313282403322 on 6/19/2020313282403322 on 8/10/2020313282403322 on 8/18/2020313282403322 on 9/22/2020313282403322 on 11/10/2020313282403322 on 11/30/2020313282403322 on 1/12/2021313282403322 on 2/9/2021374305270132 on 3/25/2021374305270132 on 4/23/2021374305270132 on 6/17/2021374305270132 on 7/28/2021374305270132 on 10/20/2021374305270132 on 12/16/2021458068003048 on 3/25/2022458068003048 on 3/29/2022458068003048 on 4/12/2022458068003048 on 6/9/2022458068003048 on 6/16/2022458068003048 on 7/18/2022458068003048 on 9/16/2022458068003048 on 12/16/2022414380098355 on 3/22/2023414380098355 on 6/7/2023414380098355 on 9/21/2023414380098355 on 11/7/2023414380098355 on 1/12/2024479793782427 on 3/28/2024

No. Clients, Historic

2M1M02019202020212022202320242025929889 on 5/16/2019929889 on 6/27/2019929889 on 7/31/2019929889 on 9/13/2019929889 on 11/4/2019929889 on 12/20/2019929889 on 1/22/2020929889 on 2/10/2020929889 on 3/16/2020978212 on 3/26/2020978212 on 4/10/2020978212 on 5/28/2020978212 on 6/15/2020978212 on 6/19/2020978212 on 8/10/2020978212 on 8/18/2020978212 on 9/22/2020978212 on 11/10/2020978212 on 11/30/2020978212 on 1/12/2021978212 on 2/9/20211042324 on 3/25/20211042324 on 4/23/20211042324 on 6/17/20211042324 on 7/28/20211042324 on 10/20/20211042324 on 12/16/20211154579 on 3/25/20221154579 on 3/29/20221154579 on 4/12/20221154579 on 6/9/20221154579 on 6/16/20221154579 on 7/18/20221154579 on 9/16/20221154579 on 12/16/20221195904 on 3/22/20231195904 on 6/7/20231195904 on 9/21/20231195904 on 11/7/20231195904 on 1/12/20241263721 on 3/28/2024