Firms by custodian
Registered investment advisers that custody at Wells Fargo Clearing Services
7 SEC-registered advisers report Wells Fargo Clearing Services as a custodian holding 10% or more of separately managed account assets in Form ADV Schedule D, Section 5.K.(3). Listed by regulatory assets under management.
7 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Allspring Funds ManagementCRD 110841 | Charlotte, NC | $324.65B | 3 | 10,118 |
| Wells Fargo Advisors Financial NetworkCRD 11025 | ST. Louis, MO | $252.25B | 2,366 | 466,575 |
| Belle Haven InvestmentsCRD 29278 | Rye Brook, NY | $24.46B | 40 | 27,602 |
| Prospera Financial ServicesCRD 10740 | Dallas, TX | $14.39B | 211 | 18,584 |
| Gamco Asset ManagementCRD 104950 | Greenwich, CT | $11.69B | 45 | 2,042 |
| Baron Capital ManagementCRD 110791 | New York, NY | $10.79B | 41 | 125 |
| Cary Street Partners Investment AdvisoryCRD 128545 | Richmond, VA | $10.25B | 85 | 6,988 |
Allspring Funds ManagementCRD 110841$324.65B
- Headquarters
- Charlotte, NC
- Advisory staff
- 3
- Clients
- 10,118
Wells Fargo Advisors Financial NetworkCRD 11025$252.25B
- Headquarters
- ST. Louis, MO
- Advisory staff
- 2,366
- Clients
- 466,575
Belle Haven InvestmentsCRD 29278$24.46B
- Headquarters
- Rye Brook, NY
- Advisory staff
- 40
- Clients
- 27,602
Prospera Financial ServicesCRD 10740$14.39B
- Headquarters
- Dallas, TX
- Advisory staff
- 211
- Clients
- 18,584
Gamco Asset ManagementCRD 104950$11.69B
- Headquarters
- Greenwich, CT
- Advisory staff
- 45
- Clients
- 2,042
Baron Capital ManagementCRD 110791$10.79B
- Headquarters
- New York, NY
- Advisory staff
- 41
- Clients
- 125
Cary Street Partners Investment AdvisoryCRD 128545$10.25B
- Headquarters
- Richmond, VA
- Advisory staff
- 85
- Clients
- 6,988
Figures are from each firm's most recent Form ADV and are dated on its profile. Listing here is a matter of public record, not a recommendation.
About this list
A custodian holds client accounts; the adviser directs them but does not take possession of the money. Form ADV Schedule D, Section 5.K.(3) requires an adviser to name every custodian holding 10% or more of its separately managed account assets, which is where this list comes from.
A firm may use several custodians, so it can appear on more than one of these lists, and smaller custodial relationships below the 10% threshold are not reported at all. Naming Wells Fargo Clearing Services here says only what the filing says, and implies nothing about either firm's service.