SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Wells Fargo Investment Institute, Inc.
Charlotte, NC
CRD 133204
Firm filing updated March 23, 2026 ·
- $43BAssets
- 12,216Clients
- 143Advisory staff
- 12,213Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals11,004
- Individuals177
- Corporations or other businesses127
- Charities114
- State or municipal government entities (including government pension plans)32
- and 3 more14
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 177 | $104.6 million |
| High net worth individuals | 11,004 | $34.7 billion |
| Banking or thrift institutions | 1 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 11 | $37.9 million |
| Charitable organizations | 114 | $369.5 million |
| State or municipal government entities (including government pension plans) | 32 | $357.1 million |
| Other investment advisors | 2 | $0 |
| Corporations or other businesses not listed above | 127 | $2.7 billion |
| Other: "TRUSTS AND FAMILY ACCOUNTS" | 748 | $4.8 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
See all 4 services
- Publication of periodicals or newsletters
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Publication of periodicals or newsletters
Assets and accounts
- Regulatory assets$43.0 billion
- Accounts12,213
- DiscretionaryAll accounts
People
- Employees225
- Advisory staff143
- Broker-dealer reps7
- Licensed insurance agents0
Advisors
33 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 133204, SEC file 801-64191.
- Registered with the SEC as an investment advisor (status date on record: May 13, 2005).
Is Wells Fargo Investment Institute, Inc. a fiduciary?
Short answer: Wells Fargo Investment Institute, Inc. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 7 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.