2020 Annual Report and 10-K.
2Clients can respond to an internal Ameriprise survey and rate an advisor or practice based on their satisfaction with the team or practice, on a scale of 1 to 5 (1 = extremely dissatisfied to 5 = extremely satisfied). Client experiences may vary and working with any Ameriprise Financial practice is not a guarantee of future financial results. Investors should not consider this rating a substitute for their own research and evaluation of a financial practice's qualifications. Only clients with access to the Ameriprise Secure Client Site may submit a rating. Ratings reflect an average of all client responses received over a rolling two-year period as of 12/31/2020.
3The Most Trusted Financial Companies Survey, is issued by Investor's Business Daily and TechnoMetrica Market Intelligence, ranking financial companies based on consumer trust. The study was conducted in two phases between July 9 and Aug. 11, 2021, with 343 individuals responding to Phase 1 and 6,578 participants in Phase 2. Seventy-four companies met the requirements for inclusion in the rankings, i.e., 100 or 125 respondents, depending on the category. Phase 1 identified attributes of financial institutions that are most important to consumers in terms of “trust”. Phase 2 used the attributes defined in Phase 1 and respondents evaluated companies on a five-point scale based on how much they trusted the company regarding that attribute. Scores were computed by taking the difference between the percentage of respondents giving high and low scores. Percentages were weighted and used to product the Trust Index rating. See https://www.investors.com/news/most-trusted-financial-companies-survey-methodology/ for the full methodology. Regional / Independent represents median of LPL, Edward Jones and Raymond James PCG. Wirehouse represents median of Morgan Stanley and Bank of America Wealth Management.
4Independent channel sourcing: Findings based on the 2020 McLagan IBD survey of 2017, 2018, and 2019 recruits and their most recent 12 month AUM ramp up. Peer group: Advisor Group, Cambridge Investment, LPL, RJFS, WF-FINET. Employee channel sourcing: Findings based on the 2020 McLagan Employee survey of 2018 and 2019 recruits and their most recent 12 month AUM ramp up. Peer group: Merrill Lynch Wealth Management, Morgan Stanley Wealth Management, Raymond James & Associates, RBC Wealth Management, UBS Financial Services Inc. and Wells Fargo.
5Company filings, S&P Cap IQ, and Ameriprise Financial internal GDC and revenue data from 2012-2019. 2019 data represents trailing 12 months through 9-30-19. Ameriprise 2012 Revenue Per Advisor includes 12b-1 fees. Regional/Independent represents median of LPL, Edward Jones and Raymond James PCG. Wirehouse represents median of Morgan Stanley and Bank of America Wealth Management. Figures for Regional/Independent and Wirehouse sourced exclusively from publicly-available data.