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WELLS FARGO INVESTMENT INSTITUTE, INC.
WELLS FARGO INVESTMENT INSTITUTE, INC. (CRD# 133204) is an SEC-Registered Investment Advisor (RIA), headquartered in Charlotte, NC. The SEC approved the firm to operate as an RIA in May 2005. In Mar 2019, the firm reported total Regulatory Assets Under Management (RAUM) of $5.9 Billion, with discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 67% of RAUM.   Non-US investors represent 4% .  
 
WELLS FARGO INVESTMENT INSTITUTE, INC. also reported in Mar 2019
  • 188 employees, with 100 performing advisory functions.
  • A total of 14 office locations.
  • No registrations with foreign financial regulatory authorities.
  • Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
WELLS FARGO INVESTMENT INSTITUTE, INC. has one or more disclosure events currently on file with the SEC.
 

View WELLS FARGO INVESTMENT INSTITUTE, INC.'s most recent Form ADV filing
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WELLS FARGO INVESTMENT INSTITUTE, INC. has Notice Filings with the following State Securities Authorities: AK-Mar 2017, AL-Mar 2017, AR-Mar 2017, AZ-Mar 2017, CA-Mar 2011 , CO-Mar 2017, CT-Mar 2017, DC-Mar 2017, DE-Mar 2011, FL-Mar 2017 , GA-Mar 2017, HI-Mar 2017, IA-Mar 2017, ID-Mar 2017, IL-Apr 2017 , IN-Mar 2017, KS-Mar 2017, KY-Mar 2017, LA-Mar 2017, MA-May 2005 , MD-Mar 2017, ME-Mar 2017, MI-Mar 2017, MN-Mar 2017, MO-Mar 2016 , MS-Mar 2017, MT-Mar 2017, NC-May 2005, ND-Mar 2017, NE-Mar 2017 , NH-Mar 2017, NJ-Apr 2017, NM-Mar 2017, NV-Mar 2017, NY-Mar 2017 , OH-Mar 2017, OK-Mar 2017, OR-Mar 2017, PA-Mar 2017, PR-Mar 2017 , RI-Mar 2017, SC-Mar 2017, SD-Mar 2017, TN-Mar 2017, TX-Mar 2017 , UT-Mar 2017, VA-Mar 2017, VI-Mar 2017, VT-Mar 2017, WA-Mar 2017 , WI-Mar 2017, WV-Mar 2017, WY-Dec 2017


Disclaimer: 
The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel free to contact FindingFraud.org with questions or concerns.


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