Advisors Asset Management, Inc.
Firm details
- Headquarters
- Monument, Colorado
- CRD number
- 46727
- Registered since
- February 6, 2004
- Website
- www.aamlive.com
- Custodians
- NATIONAL FINANCIAL SERVICES LLC, CHARLES SCHWAB & CO., INC., PERSHING LLC
- Fee structure
- Percentage of AUM
- Client types
- Investment Companies63.35%
- Individuals17.48%
- HNWI14.22%
- Corporations / Businesses2.65%
- Pooled Investment Vehicles2.02%
- Services
- Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Institutional Clients
Firm profile
FINTRXOverview
Advisors Asset Management, Inc. is a corporation registered with the SEC since 2004 that operates as a broker-dealer and provides fee-based portfolio management across individuals, small businesses, investment companies, and institutional clients. The firm is classified as an investment bank in the snapshot data and bills clients on a percentage of assets under management. It reports no active ESG investing program, and its owner structure is shown as a domestic entity and individual. The firm's regulatory affiliations indicate it has acted as an adviser, sponsor/GP of pooled vehicles and as a commodity pool operator/CTA in addition to broker-dealer activities.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- State & Local Bonds64%
- Investment Grade Corp Bonds15%
- US Government Bonds11%
- Cash & Cash Equivalents5%
- Exchange Traded Equities4%
Owners & executives
3 of 5
Raymond Gooley
Chief Marketing OfficerCRD 2261154
Jeffrey Opie
Chief Financial OfficerCRD 5763807
Clifford Corso
President, Chief Investment OfficerCRD 2477519
Contacts
3 of 180
Timothy Stoklosa
Executive Vice PresidentCRD 4897959
Lauren Sawyer
Senior Business Intelligence AnalystCRD 6557430
Adrianne Potwora
Senior Vice PresidentCRD 2100318
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 56Active vs passive
$82.1M in ETFs
62%
$50.7M
21%
$31.3M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| THORNBURG INCOME BUILDER OPPORTUNITIES TRUST (TBLD) | $12.5M | 567,963 | 15.28% |
Location
Monument, CO
El Paso
Location
Monument, CO
Headquartered in Monument, CO, in the West of the United States.
- Region
- West
- County
- El Paso
- Address
- 18925 Base Camp Rd
- Time zone
- MT (UTC-7)
- Office locations
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