ADVISORS ASSET MANAGEMENT, INC.

Broker-DealerFINRA MemberEst. 2004

Total AUM

$2.2B

Discretionary

$2.2B

100% of AUM

Accounts

1,505

Employees

255

Advisory reps

191

Brokerage reps

198

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

FINTRX

Overview

Advisors Asset Management, Inc. operates as a corporate investment bank and broker-dealer that provides portfolio management for individuals, small businesses, investment companies, and institutions. The firm charges fees as a percentage of assets under management and does not position itself as a capital allocator. Its regulatory footprint shows SEC registration dating to 2004 and it is classified as a domestic entity owned by individuals. ESG investing is not indicated as an active focus. The firm’s business mix includes both brokerage and advisory services. It is affiliated with activities typical of sponsors and managers of pooled vehicles, and it lists roles such as other investment adviser, CPO/CTA, and sponsor or GP for pooled investments. That combination suggests a hybrid model: client-facing advisory and custody relationships alongside sponsorship or management of private pooled vehicles.