Wells Fargo Investment Institute, Inc.

Registered investment adviser · Charlotte, NC · CRD #133204

Form ADV data as of 2026-09-01

Regulatory assets

$43.00 billion

Total accounts

12,213

Employees

225

Disclosure events

Firm details

Telephone: 314-354-5814
SEC file number: 801-64191
Most recent Form ADV filing: 2026-03-23
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 12 disclosure questions answered Yes, covering 50 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator found a violation of investment-related regulations or statutes
Another regulator found the firm caused a business to lose or have its authorization restricted
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a violation of its rules
A court found involvement in a violation of investment-related statutes or regulations
A court dismissed an investment-related civil action under a settlement agreement
Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$43.00 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$43.00 billion
Discretionary accounts	12,213
Non-discretionary accounts	0
Total accounts	12,213
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	225
Employees performing investment advisory functions (including research)	143
Employees who are registered representatives of a broker-dealer	7
Employees registered as investment adviser representatives with a state	48
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	Yes
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$35.24 billion
Clients for whom a related person has custody	10,805
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	Yes
Number of persons acting as qualified custodians for the firm's clients	2

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)

Advisory services offered

Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newsletters

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Commodity pool operator or commodity trading advisorBanking or thrift institutionTrust companyInsurance company or agencyPension consultantSponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Executes agency cross transactions involving advisory client securities
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	177	$104.6 million
High net worth individuals	11,004	$34.70 billion
Banking or thrift institutions	1	$0
Pension and profit sharing plans (not the participants or government 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 advisers	2	$0
Corporations or other businesses not listed above	127	$2.67 billion
Other	748	$4.76 billion