Wealth manager, bank-affiliated · Charlotte, NC
Wells Fargo Investment Institute, Inc.
SEC-registered investment adviser · CRD 133204 · SEC 801-64191
At a glance
Wells Fargo Investment Institute, Inc. is an SEC-registered investment adviser based in Charlotte, North Carolina, with $43.0 billion in regulatory assets under management as of its Form ADV filed March 23, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 11,181 individual clients. By Form ADV it is a wealth manager (bank-affiliated), ranked 51st of 8,915 wealth managers and 484th of 17,210 SEC-registered advisers by assets.
Main office 314-354-5814As filed on Form ADV
- Regulatory AUM
- $43B
- Rank among wealth managers
- #51 of 8,915
- Rank among all SEC RIAs
- #484 of 17,210
- Rank in North Carolina
- #7 of 288
- Individual clients
- 11,181
- High-net-worth clients
- 11,004
- Accounts
- 12,213
- Discretionary
- 100% of AUM
- Employees
- 225
- Advisory staff
- 143
- Offices
- 3
Owners and executives on its Form ADV
- Britta P. McCorduckManaging Director and Secretary
- Gregory S. SigmundChief Operating Officer, Director (board Member)
- Darrell CronkPresident and Chief Investment Officer, Director (board Member)
- Barry SommersDirector (board Member)
- Haley L. RonzioChief Financial Officer, Treasurer
- George E. RusnakDirector (board Member)
- David M WilliamsChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Wells Fargo Investment Institute, Inc. is a hybrid RIA: 7 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Wells Fargo Advisors Financial Network, LLC, Wells Fargo Bank, National Association and Wells Fargo Clearing Services, LLC.
- Wells Fargo Advisors Financial Network, LLC ↗CRD 11025
- Wells Fargo Bank, National Association
- Wells Fargo Clearing Services, LLC ↗CRD 19616
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 11,004 | $35B | 81% |
| Other | 748 | $4.8B | 11% |
| Corporations or other businesses | 127 | $2.7B | 6% |
| Charitable organizations | 114 | $369M | <1% |
| State or municipal government entities | 32 | $357M | <1% |
| Individuals | 177 | $105M | <1% |
| Pension and profit sharing plans | 11 | $38M | <1% |
| Banking or thrift institutions | 1 | $0M | 0% |
| Other investment advisers | 2 | $0M | 0% |
Disciplinary disclosures
Wells Fargo Investment Institute, Inc. answers yes to 50 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
- Periodicals or newsletters
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Wells Fargo Investment Institute, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 99 peers of its type and size
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- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 2Locked
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Background
Questions
How much does Wells Fargo Investment Institute, Inc. manage?
Wells Fargo Investment Institute, Inc. reports $43.0 billion in regulatory assets under management across 12,213 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 23, 2026.
What kind of firm is Wells Fargo Investment Institute, Inc.?
Wells Fargo Investment Institute, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Wells Fargo Investment Institute, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($34.7 billion, 11,004 clients); other ($4.8 billion, 748 clients); corporations or other businesses ($2.7 billion, 127 clients).
Does Wells Fargo Investment Institute, Inc. have any disciplinary history?
Wells Fargo Investment Institute, Inc. answers yes to 50 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Wells Fargo Investment Institute, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-23), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →