Providers › Investment advisory and management
Service provider · Schedule C, plan year 2024
Wells Fargo Advisors Financial
Most often reported for investment advisory and management
Form 5500 information is as filed by the plan administrator with the Department of Labor and may be amended. Figures reflect the plan year shown, not current balances. Schedule C lists only providers a plan paid $5,000 or more, and is filed only by plans with 100 or more participants.
Wells Fargo Advisors Financial is named as a service provider on the Schedule C of 26 retirement plans with 100 or more participants for plan year 2024, covering 11,070 participant records. Most often it is reported for investment advisory and management.
Reported compensation from those plans, direct and indirect, totalled $944K. Per plan, the median was $68.74 per participant, with the middle half of plans between $53.20 and $140. These are amounts plans reported paying this organisation, not a price list: they depend on which services each plan buys and on how much is paid through fund expenses instead.
Its client plans are most numerous in California (4), New York (4) and South Dakota (3).
In 2016 it appeared on 10 such filings; in 2024, 29. Yearly counts include every filing that names it, so they can run slightly above the number of plans with pages here, and name or EIN changes after mergers can break the series.
Reported compensation per plan
| Across this provider's plans | 25th percentile | Median | 75th percentile |
|---|---|---|---|
| Compensation per participant | $53.20 | $68.74 | $140 |
| Compensation as a share of plan net assets | 0.08% | 0.15% | 0.25% |
What each plan reported paying this organisation, not the plan's total cost. For reference, the median US defined contribution plan reported $123 per participant to all Schedule C providers combined.
Plans served by year
Matched by employer identification number. A merger or a change of filing entity starts a new series, so a drop to zero is not a loss of clients by itself.
By state
By plan size
Services reported
Largest plans naming this provider
| Plan | Sponsor | State | Participants | Net assets | Reported to this provider |
|---|---|---|---|---|---|
| The Doctors Management Company 401(k) Savings Plan | The Doctors Management Company | CA | 1,122 | $313M | $19K |
| AAA Life Insurance Pension and 401(k) Plan | AAA Life Insurance Company | MI | 1,062 | $98.5M | $6,667 |
| Dakota Provisions, LLC 401(k) Plan | Dakota Provisions, LLC | SD | 899 | $16.6M | $52K |
| Van Wall Equipment, Inc. Profit Sharing 401(k) Plan | Van Wall Equipment, Inc. | IA | 833 | $67.4M | $144K |
| ABC Bus Companies, Inc. Employees' Retirement Plan | ABC Bus Companies, Inc. | MN | 698 | $29.7M | $45K |
| Poly Prep Country Day School Defined Contribution Plan | Poly Prep Country Day School | NY | 661 | $103M | $38K |
| Empire CLS Worldwide Chauffeured Services 401(k) Plan | Empire International Ltd. DBA Empire CLS Worldwide Chauffeured Services | NJ | 645 | $12.3M | $19K |
| Hme, Inc. 401(k) Plan | Hme, Inc. | KS | 633 | $27.7M | $3,319 |
| J.S.T. Corporation 401(k) Plan | J.S.T. Corporation | IL | 439 | $41.6M | $25K |
| Keene, Inc. 401(k) Plan | Keene Management, Inc. | OH | 343 | $8.7M | $25K |
| Rippowam Cisqua School 403(b) Plan | Rippowam Cisqua School | NY | 339 | $34.5M | $28K |
| Hunters Run 401(k) Retirement Plan | Hunters Run Property Owners Asso | FL | 331 | $4.6M | $6,725 |
| Universal Pediatric Services 401(k) Plan | Universal Pediatric Services, Inc. | IA | 294 | $4.0M | $41K |
| Huron Area Center for Independence 403(b) Plan | Huron Area Center for Independence | SD | 266 | $16.2M | $55K |
| SCHC Companies, Inc. 403(b) Plan | SCHC Companies, Inc. | NY | 262 | $11.4M | $14K |
| Mitek Systems, Inc. 401(k) Savings Plan | Mitek Systems, Inc. | CA | 258 | $26.4M | $67K |
| SCHC Companies, Inc. Profit Sharing Plan | SCHC Companies, Inc. | NY | 255 | $3.7M | $8,193 |
| Merrill Farms, LLC Retirement Plan & Trust | Merrill Farms, LLC | CA | 249 | $16.8M | $16K |
| Dakotaland Federal Credit Union 401(k) Plan & Trust | Dakotaland Federal Credit Union | SD | 240 | $19.2M | $25K |
| TD2 401(k) Plan | Translational Drug Development, LLC | AZ | 221 | $13.5M | $30K |
| Oncology Nursing Society 401(k) Retirement Plan | Oncology Nursing Society | PA | 211 | $32.2M | $77K |
| Ryco 401(k) Plan | Ryco Inc. | PA | 184 | $5.5M | $20K |
| South Tahoe Group Pension Plan | South Tahoe Refuse Co., Inc. | CA | 178 | $22.9M | $10K |
| Carlson Tool & Manufacturing Corp. Employees' Profit Sharing and 401(k) Plan | Carlson Tool & Manufacturing Corp. | WI | 163 | $28.3M | $44K |
| Hubbard & Drake General/mechanical Contractors, Inc. 401(k) PSP | Hubbard & Drake General/mechanical Contractors, Inc. | AL | 148 | $6.1M | $21K |
| Miami Valley Emergency Specialists, LLC 401(k) Profit Sharing Plan | Miami Valley Emergency Specialists, LLC | OH | 136 | $43.0M | $104K |
Questions and answers
How many plans does Wells Fargo Advisors Financial serve?
26 plans with 100 or more participants named it on Schedule C for plan year 2024. Plans that paid it under $5,000, small plans that file Form 5500-SF, and plans whose filings spell its name without an EIN under a different form are not counted.
What do plans pay Wells Fargo Advisors Financial?
The median plan reported $68.74 per participant in direct and indirect compensation (26 plans reporting an amount), or 0.15% of plan net assets. Eligible indirect compensation disclosed to the plan by formula is not reported as a dollar amount, so many filings understate what a provider receives.
What services are reported?
The service codes most often attached to it are Investment advisory (participants) (11 plans), Investment advisory (plan) (10 plans), Investment management (2 plans) and Consulting (pension) (1 plans).
Where does this come from?
Schedule C of Form 5500, Part I line 2, from the EBSA research files with filings received through 24 Aug 2026. Individuals named on Schedule C are excluded from this site.
Provenance
Source: U.S. Department of Labor, Employee Benefits Security Administration, Form 5500 research files, Schedule C Part I line 2, public domain, with filings received through 24 Aug 2026. Rows are grouped by the provider's EIN as entered by each plan; rows without an EIN join the EIN most often filed under the same name. Providers named on fewer than 25 plans have no page. See the methodology and corrections.