{
  "crd_number": 6363,
  "slug": "ameriprise-financial-services-llc-minneapolis-mn-6363",
  "primary_business_name": "AMERIPRISE FINANCIAL SERVICES, LLC",
  "legal_name": "AMERIPRISE FINANCIAL SERVICES, LLC",
  "dbas": [
    "COMERICA FINANCIAL ADVISORS"
  ],
  "city": "Minneapolis",
  "state": "MN",
  "country": "United States",
  "cbsa_code": "33460",
  "metro": {
    "cbsa_code": "33460",
    "common_name": "Minneapolis",
    "msa_name": "Minneapolis-St. Paul-Bloomington, MN-WI",
    "path": "/advisors/mn/minneapolis"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1986-12-05",
  "years_registered": 39,
  "period": "2026-10-01",
  "filing_date": "2026-09-25",
  "carried_forward": false,
  "raum_total": 660474421776.0,
  "raum_discretionary": 356290579112.0,
  "raum_non_discretionary": 304183842664.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 14056,
  "advisory_employees": 12681,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 4823858.0,
      "count": 15,
      "description": "TRUSTS/ESTATES"
    },
    "charitable": {
      "raum": 3019639751.0,
      "count": 2335
    },
    "individuals": {
      "raum": 278445513502.0,
      "count": 1189138
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": 1365802578.0,
      "count": 540
    },
    "insurance_companies": {
      "raum": 8590287.0,
      "count": 11
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 5018718624.0,
      "count": 7105
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 368496439569.0,
      "count": 183925
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 4114893607.0,
      "count": 3260
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "other",
    "pension_consulting",
    "periodicals_newsletters",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 19,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://ameriprise.com",
    "https://ameripriseadvisors.com",
    "https://facebook.com/ameriprise",
    "https://instagram.com/ameriprise",
    "https://linkedin.com/company/ameriprise-financial-services-llc",
    "https://x.com/ameriprise",
    "https://youtube.com/ameriprise",
    "https://youtube.com/channel/UCGajGRVprL9xry2saIT6ZXA"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/6363",
  "disclosure_items": [
    {
      "item": "11.A(1)",
      "question": "In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?"
    },
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    },
    {
      "item": "11.B(1)",
      "question": "In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a misdemeanor involving investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these?"
    },
    {
      "item": "11.B(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with one of the misdemeanors listed in 11.B(1)?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(1)",
      "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    },
    {
      "item": "11.G",
      "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?"
    },
    {
      "item": "11.H(1)(a)",
      "question": "In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.H(1)(b)",
      "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?"
    },
    {
      "item": "11.H(1)(c)",
      "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?"
    },
    {
      "item": "11.H(2)",
      "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?"
    }
  ],
  "city_as_filed": "MINNEAPOLIS",
  "url": "https://advisorcensus.com/firm/ameriprise-financial-services-llc-minneapolis-mn-6363",
  "display_name": "Ameriprise Financial Services, LLC",
  "summary": "Ameriprise Financial Services, LLC is an SEC-registered investment advisory firm in Minneapolis, MN, registered since 1986, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 25, 2026.",
  "citation": "AdvisorCensus. Ameriprise Financial Services, LLC (CRD 6363): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)",
    "Publication of periodicals or newsletters",
    "Educational seminars/workshops",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Ameriprise Financial Services, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Ameriprise Financial Services, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Ameriprise Financial Services, LLC located?",
      "a": "Ameriprise Financial Services, LLC's principal office is in Minneapolis, MN, according to its Form ADV; the October 2026 filing also lists 23 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Ameriprise Financial Services, LLC registered with the SEC or a state?",
      "a": "Ameriprise Financial Services, LLC is an SEC-registered investment advisory firm, registered since 1986. Status as filed: Approved. CRD 6363."
    },
    {
      "q": "How much does Ameriprise Financial Services, LLC manage?",
      "a": "Ameriprise Financial Services, LLC reports $660,474,421,776 in regulatory assets under management in its Form ADV filing dated September 25, 2026 (54% discretionary)."
    },
    {
      "q": "How have Ameriprise Financial Services, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Ameriprise Financial Services, LLC: Regulatory assets under management: $374,305,270,132 in the October 2021 data and $660,474,421,776 in the October 2026 data, up 76%. Total employees: 13,798 in October 2021 and 14,056 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Ameriprise Financial Services, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,189,138); high net worth individuals (183,925); pension and profit sharing plans (but not the plan participants or government pension plans) (7,105)."
    },
    {
      "q": "Which custodians does Ameriprise Financial Services, LLC use?",
      "a": "Ameriprise Financial Services, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists American Enterprise Investment Services Inc. (affiliated with the firm) as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Ameriprise Financial Services, LLC report any disciplinary disclosures?",
      "a": "Reports 19 disclosure items on Form ADV Item 11: yes answers to 4 questions about criminal matters, 11 questions about regulatory matters, and 4 questions about civil court matters (11.A(1), 11.A(2), 11.B(1), 11.B(2), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.D(5), 11.E(1), 11.E(2), 11.E(4), 11.G, 11.H(1)(a), 11.H(1)(b), 11.H(1)(c), 11.H(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/6363"
    },
    {
      "q": "What changed in Ameriprise Financial Services, LLC's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 374305270132.0,
      "total_employees": 13798,
      "filing_date": "2021-07-28"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 458068003048.0,
      "total_employees": 13870,
      "filing_date": "2022-09-16"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 414380098355.0,
      "total_employees": 14187,
      "filing_date": "2023-09-21"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 479793782427.0,
      "total_employees": 13903,
      "filing_date": "2024-09-18"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 564622896919.0,
      "total_employees": 14000,
      "filing_date": "2025-07-25"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 660474421776.0,
      "total_employees": 14056,
      "filing_date": "2026-09-25"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 12636 to 12681.",
        "Regulatory assets under management went from $564,622,896,919 to $660,474,421,776 (+17%).",
        "Changed its office addresses in Edina, MN.",
        "Changed its office addresses in Sarasota, FL.",
        "Added an office in Bedford, NH.",
        "Added an office in Bellevue, WA.",
        "Added an office in Bloomfield Hills, MI.",
        "Added an office in Boca Raton, FL.",
        "Added an office in Boston, MA.",
        "Added an office in Cincinnati, OH.",
        "Added an office in Hauppauge, NY.",
        "Added an office in Houston, TX.",
        "Added an office in Las Vegas, NV.",
        "Added an office in Leawood, KS.",
        "Added an office in Melville, NY.",
        "Added an office in New York, NY.",
        "Added an office in Newport Beach, CA.",
        "Added an office in Palm Beach Gardens, FL.",
        "Added an office in Plano, TX.",
        "Added an office in Red Bank, NJ.",
        "Added an office in Saddle Brook, NJ.",
        "Added an office in San Diego, CA.",
        "Added an office in San Jose, CA.",
        "Added an office in Scottsdale, AZ.",
        "Added an office in Tampa, FL.",
        "No longer lists an office in Alpharetta, GA.",
        "No longer lists an office in Charlotte, NC.",
        "No longer lists an office in Chesapeake, VA.",
        "No longer lists an office in Cottage Grove, MN.",
        "No longer lists an office in Fort Washington, MD.",
        "No longer lists an office in Goshen, KY.",
        "No longer lists an office in Grapevine, TX.",
        "No longer lists an office in Hingham, MA.",
        "No longer lists an office in Howell, MI.",
        "No longer lists an office in Magnolia, AR.",
        "No longer lists an office in Middleton, WI.",
        "No longer lists an office in New Durham, NH.",
        "No longer lists an office in Philadelphia, PA.",
        "No longer lists an office in Phoenixville, PA.",
        "No longer lists an office in Rye Brook, NY.",
        "No longer lists an office in San Luis Obispo, CA.",
        "No longer lists an office in San Mateo, CA.",
        "No longer lists an office in Southlake, TX.",
        "No longer lists an office in Spencer, IA.",
        "No longer lists an office in St Cloud, MN.",
        "No longer lists an office in Watkinsville, GA.",
        "No longer lists an office in Windermere, FL.",
        "No longer lists an office in Worthington, OH.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "American Enterprise Investment Services Inc.",
      "name_as_filed": "AMERICAN ENTERPRISE INVESTMENT SERVICES INC.",
      "affiliated": true
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/ameriprise-financial-services-llc-minneapolis-mn-6363.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 1189138,
      "fewer_than_5": false,
      "raum": 278445513502.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 183925,
      "fewer_than_5": false,
      "raum": 368496439569.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 7105,
      "fewer_than_5": false,
      "raum": 5018718624.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 2335,
      "fewer_than_5": false,
      "raum": 3019639751.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 540,
      "fewer_than_5": false,
      "raum": 1365802578.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 11,
      "fewer_than_5": false,
      "raum": 8590287.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 3260,
      "fewer_than_5": false,
      "raum": 4114893607.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 15,
      "fewer_than_5": false,
      "raum": 4823858.0
    }
  ],
  "disclosure_line": "Reports 19 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/6363",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}