SourcingSourcing

AMERIPRISE FINANCIAL SERVICES, LLC

C30
CRD 6363·SEC 801-28543·MINNEAPOLIS, MN
AUM
$660.47B
$1B+
Est. Revenue
$6.60B
@ 1% on AUM
Est. EBITDA
$1.98B
@ 30% margin
Est. Deal Value
$15.85B
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
AMERIPRISE FINANCIAL SERVICES, LLC
CRD
6363
SEC file #
801-28543
EIN
853274399
DBA names
—

Economics

AUM
$660.47B
AUM band
$1B+
AUM trajectory
'20'26
$248.32B → $660.47B▲ +166%
Client mix
Individuals Other1,189,138
Individuals High Net Worth183,925
Pension Profit Sharing Plans7,105
Corporations3,260
Charitable Organizations2,335

Operations

Employees (total)
14,056
Advisory staff (per ADV)
12,681
Advisory staff (5-yr trend)
'20'26
12,962 advisors → 12,681 advisors▼ -2%
Primary office
MINNEAPOLIS MN
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
04/30/2026
ADV-W filed at
—
Website
youtube.com/channel/ucgajgrvprl9xry2sait6zxa

Compliance

Disclosures (firm)
18
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
AMPF HOLDING, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
9
Control Persons
AMPF HOLDING, LLC
ALVERO, GUMER CRUZ
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:ameriprise.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
219
Form 5500 Total Compensation
7,363,642
Form 5500 Compensation Trajectory 3y
20256,644,447
2026719,195
Form 5500 Plan Count Trajectory 3y
2025200
202619
Schedule C Total Compensation
7,363,642
Schedule C Service Provider Rows
219

SEC EDGAR

Edgar Cik
0001830097
Edgar Registered
Yes
Edgar Filing Count
27
Edgar First Filing Date
2020-10-28
Edgar Last Filing Date
2022-01-05
Edgar Form D Count
27
Edgar Form D Offerings
2022-01-052022-01-05 · 0001830097-22-000001
2021-11-102021-11-10 · 0001830097-21-000023

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
50
Bc Firm Active IA Count
48
Bc Firm IAR Count
50
Custodian Candidates
Full
E*trade5
Edgar Addresses
Mailing
C/O GRIFFIN CAPITAL PLAZA1520 EAST GRAND AVENUEEL SEGUNDO, CA 90245
Business
C/O GRIFFIN CAPITAL PLAZA1520 EAST GRAND AVENUEEL SEGUNDO, CA 90245
Edgar EIN
853274399
Edgar Recent Filings
D/A2022-01-05 · 0001830097-22-000001
D/A2021-11-10 · 0001830097-21-000023
Fee Schedule
Bracket Ix43
Bracket X30
Bracket I21
Bracket Xi3
Bracket Iii1
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (58)

58
ALVERO, GUMER CRUZ
Executive Officer · 2.5%
1975307
DOREN, MITCHELL DAVID
Executive Officer · 2.5%
2129844
FLANSBURG, BRETT
Executive Officer · 2.5%
3179474
GERDES, JOSEPH FRANCIS
Executive Officer · 2.5%
2391989
MATTOX, MICHAEL SCOTT
Executive Officer · 2.5%
4383501
O'CONNELL, PATRICK HUGH
Executive Officer · 2.5%
2246285
TAVA, PAUL SCOTT
Executive Officer · 2.5%
6888757
WILLIAMS, WILLIAM JERRYL
Executive Officer · 2.5%
1954117
WILLIAM THOMAS HIGGINS
IAR
2283649
ANNE-MARIE MCCORMICK
IAR
2283724
MICHAEL ANTHONY LIPSCOMB
IAR
2286249
JESSE LYNN WEBB
IAR
2298761
JOSHUA DANIEL BROWN
IAR
2304799
STEVEN DENNIS PARRETT
IAR
2314863
TRACY GOUGHNOUR AUFLEGER
IAR
2317989
RICHARD CHARLES YOUNG
IAR
2294697
RALPH GEORGE POWELL
IAR
2330960
RICHARD LEE FREDENBURG
IAR
2329970
LINDA ANN KAY
IAR
2329501
ROBERT LOUIS CHASE
IAR
2329240
MICHAEL WILLIAM MENEFEE
IAR
2308317
ROBERT EUGENE SHERMAN
IAR
2305832
TIMOTHY JAMES GILLESPIE
IAR
2322171
TIMOTHY ALLEN RUHLAND
IAR
2321314
KATHERINE GRAHAM KICKLIGHTER
IAR
2800317
BRADLEY LEE BALDES
IAR
2799252
JAMES RAPHAEL FRANKOWSKI
IAR
2799164
SCOTT WILLIAM MACKALL
IAR
2802666
STEVEN MICHAEL TINER
IAR
2799296
WILLIAM GILES BISHOP
IAR
2808412
HULON BRADLEY WHATLEY
IAR
2738524
SCOTT PETER LA DORE
IAR
2740044
RICHARD FRANCIS KEELTY
IAR
2785930
TRAVIS ALLEN ROUTT
IAR
2768395
ERIC JASON KELMAN
IAR
2754975
Jessica L Szeflin
IAR
2758928
QUINTINO EDWARD CIUFFETELLI
IAR
3256706
RYAN RICHARD HAZEL
IAR
3257475
TIMOTHY MICHAEL REICH
IAR
3263111
EVAN SCOTT BRANFMAN
IAR
3270650
Benjamin Burns Mackey
IAR
3270518
LAURA MARGARET GRASSO
IAR
4013691
Douglas Kasselberg
IAR
4007114
PAUL STEVEN WESSEL
IAR
3250850
STACIA MAKALANI MURRAY
IAR
3231788
Thomas Louis Grilli
IAR
3274386
LESLIE GROTHE CADLE
IAR
1756757
VICTOR JOHN KATIS
IAR
2142084
LANCE RICHARD CUNNINGHAM
IAR
2207129
ELISA LYNN STARK-RIFKIN
IAR
1978441
BRADLEY LEO RENBERG
IAR
2155253
PAUL JOSEPH WHEATON
IAR
2032405
TODD JOHN BLOOM
IAR
2097826
WILLIAM CARL WALTER
IAR
2127703
JOSEPH WALLACE DUBINSKI
IAR
2205973
MICHAEL ROBERT POHLOD
IAR
2637529
Sandra Dee Hildebrand
IAR
2646030
JOHN DAVID LINK
IAR
2647984