WELLS FARGO INVESTMENT INSTITUTE, INC.
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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%
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WELLS FARGO INVESTMENT INSTITUTE, INC.
also reported in
Mar 2019
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188
employees,
with
100
performing advisory functions.
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A total of 14 office locations.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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WELLS FARGO INVESTMENT INSTITUTE, INC. has one or more disclosure events currently on file with the SEC.
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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
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