{"url":"https://nivawealth.com/firms/allspring-global-investments-104973","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/104973","regulatoryAum":475780527170,"crd":"104973","secFileNumber":"801-21122","legalName":"Allspring Global Investments, LLC","displayName":"Allspring Global Investments","website":"https://www.allspringglobal.com/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1415 Vantage Park Drive, 3rd Floor","city":"Charlotte","state":"NC","stateName":"North Carolina","country":"United States","postalCode":"28203"},"tradeNames":[],"registration":{"secApproved":"27 April 1984","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":956,"advisory":301,"brokerDealerReps":109,"insuranceAgents":0,"promoters":9},"aum":{"discretionary":475766705753,"discretionaryAccounts":11051,"nonDiscretionary":13821417,"nonDiscretionaryAccounts":4,"wrapProgram":10161803355,"nonUsClientsPct":1,"nonAumClients":26},"clientTypes":[{"label":"Individuals (other than HNW)","clients":7267,"regulatoryAum":2897946189},{"label":"High-net-worth individuals","clients":1893,"regulatoryAum":5703760769},{"label":"Investment companies","clients":40,"regulatoryAum":339937222731},{"label":"Pooled investment vehicles","clients":8,"regulatoryAum":13582675946},{"label":"Pension and profit-sharing plans","clients":78,"regulatoryAum":21127707320},{"label":"Charitable organizations","clients":501,"regulatoryAum":10015523902},{"label":"State or municipal government entities","clients":65,"regulatoryAum":25257930464},{"label":"Insurance companies","clients":125,"regulatoryAum":41438490686},{"label":"Sovereign wealth funds and foreign official institutions","clients":null,"regulatoryAum":918285885},{"label":"Corporations and other businesses","clients":424,"regulatoryAum":14900983278}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Bank of New York Mellon, N.A.","shortName":"The Bank of New York Mellon, N.A.","location":"Jersey City, NJ","smaAssets":14920518536},{"name":"Northern Trust Corporation","shortName":"Northern Trust","location":"Wilmington, DE","smaAssets":26706567942},{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":18910537278},{"name":"Principal Financial Group, Inc.","shortName":"Principal Financial Group","location":"Wilmington, DE","smaAssets":13961400039}],"custodyNote":"Allspring Global Investments has custody of $4.15B for 115 clients.","otherCustodians":[],"leadership":[{"name":"Francis Baranko","title":"President, Chief Investment Officer - Global Fundamental Investments","crd":"2299814"},{"name":"Annette Lege","title":"Chief Financial Officer","crd":"2244646"},{"name":"Sallie Squire","title":"Chief Operating Officer","crd":"2932918"},{"name":"Jimmy Tran","title":"Chief Compliance Officer","crd":"5801259"}],"ownership":[{"label":"Allspring Global Investments Holdings, LLC","detail":"Managing member, direct parent company in the 75% or more ownership band and a control person, since November 2021."},{"label":"Allspring Buyer, LLC","detail":"Indirect owner: a shareholder of Allspring Global Investments Holdings, LLC in the 75% or more band and a control person, since November 2021.","parent":"Allspring Global Investments Holdings, LLC"},{"label":"Allspring Intermediate II, LLC","detail":"Indirect owner: a shareholder of Allspring Buyer, LLC in the 75% or more band and a control person, since November 2021.","parent":"Allspring Buyer, LLC"},{"label":"Allspring Intermediate I, LLC","detail":"Indirect owner: a shareholder of Allspring Intermediate II, LLC in the 75% or more band and a control person, since November 2021.","parent":"Allspring Intermediate II, LLC"},{"label":"Allspring Group Holdings, LLC","detail":"Indirect owner: a shareholder of Allspring Intermediate I, LLC in the 75% or more band and a control person, since November 2021.","parent":"Allspring Intermediate I, LLC"},{"label":"GTCR Fund Xiii/B LP","detail":"Indirect owner: a shareholder of Allspring Group Holdings, LLC in the 25% to 50% band and a control person, since November 2021.","parent":"Allspring Group Holdings, LLC"},{"label":"Sallie Squire","detail":"Indirect owner: manager, chief operating officer of Allspring Global Investments Holdings, LLC and a control person, since November 2021.","parent":"Allspring Global Investments Holdings, LLC"},{"label":"GTCR Partners Xiii/B LP","detail":"Indirect owner: general partner of GTCR Fund Xiii/B LP and a control person, since July 2020.","parent":"GTCR Fund Xiii/B LP"},{"label":"GTCR Investment Xiii LLC","detail":"Indirect owner: general partner of GTCR Partners Xiii/B LP and a control person, since July 2020.","parent":"GTCR Partners Xiii/B LP"},{"label":"Annette Lege","detail":"Indirect owner: manager, chief financial officer of Allspring Global Investments Holdings, LLC and a control person, since August 2024.","parent":"Allspring Global Investments Holdings, LLC"},{"label":"Catherine Burke","detail":"Indirect owner: manager, chief executive officer of Allspring Global Investments Holdings, LLC and a control person, since July 2025.","parent":"Allspring Global Investments Holdings, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":10,"privateResidences":0},"listedOfficeAddresses":11,"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"2001 N Main ST","city":"Walnut Creek"},{"street":"525 Market Street","city":"San Francisco"}]},{"state":"Indiana","offices":1,"addresses":[{"street":"310 East 96th ST","city":"Indianapolis"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"101 Seaport BLVD","city":"Boston"}]},{"state":"Minnesota","offices":1,"addresses":[{"street":"800 Lasalle Ave","city":"Minneapolis"}]},{"state":"Missouri","offices":1,"addresses":[{"street":"500 N Broadway Ave","city":"Saint Louis"}]},{"state":"New York","offices":1,"addresses":[{"street":"330 Madison Avenue","city":"New York"}]},{"state":"North Carolina","offices":1,"addresses":[{"street":"1415 Vantage Park Drive, 3rd Floor","city":"Charlotte","headquarters":true}]},{"state":"Oregon","offices":1,"addresses":[{"street":"5335 Meadows Road","city":"Lake Oswego"}]},{"state":"Virginia","offices":1,"addresses":[{"street":"1402 Roseneath Road","city":"Richmond"}]},{"state":"Wisconsin","offices":1,"addresses":[{"street":"417 E Chicago ST","city":"Milwaukee"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"18332895038","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":11},{"label":"U.S. government/agency bonds","percent":25},{"label":"U.S. state and local bonds","percent":12},{"label":"Sovereign bonds","percent":1},{"label":"Investment grade corporate bonds","percent":37},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":4},{"label":"Cash and cash equivalents","percent":4},{"label":"Other","percent":5,"detail":"This Category Generally Includes Collateralized Mortgage Obligations, Asset-Backed Securities, Mortgage-Backed Securities and Commercial Mortgage-Backed Securities."}],"privateFunds":14},"sources":{"adv1FilingDate":"13 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/104973/PDF/104973.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Allspring Global Investments have?","answer":"Allspring Global Investments has 10,401 clients and manages $475.8 billion for them, as of May 2026. They include 7,267 other individuals, 1,893 high-net-worth individuals and 501 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 13 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Allspring Global Investments offer?","answer":"Allspring Global Investments provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Allspring Global Investments use?","answer":"Allspring Global Investments’ separately managed account assets are held at Northern Trust Corporation (Wilmington, DE), with $26,706,567,942, State Street Bank and Trust Company (Boston, MA), with $18,910,537,278, The Bank of New York Mellon, N.A. (Jersey City, NJ), with $14,920,518,536 and Principal Financial Group, Inc. (Wilmington, DE), with $13,961,400,039. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Allspring Global Investments have?","answer":"Allspring Global Investments has 0 investment adviser representatives registered with state securities authorities, out of 956 employees, and 301 perform investment advisory functions. 109 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Allspring Global Investments invest in?","answer":"At the end of its last fiscal year, Allspring Global Investments’ separately managed accounts held 37% investment grade corporate bonds, 25% U.S. government and agency bonds, 12% state and local bonds, 11% exchange-traded equities, 5% this category generally includes collateralized mortgage obligations, asset-backed securities, mortgage-backed securities and commercial mortgage-backed securities., 4% registered funds (mutual funds, ETFs, BDCs), 4% cash and equivalents, 1% sovereign bonds and 1% high-yield corporate bonds. It advises 14 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Allspring Global Investments?","answer":"Allspring Global Investments’ direct owner is Allspring Global Investments Holdings, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 13 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Allspring Global Investments get paid?","answer":"Allspring Global Investments is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}