ADVISORS ASSET MANAGEMENT, INC.

Company Profile

As of Date 10/29/2026
ADV Location United States, CO
Websites
AUM* 1,795,723,887 -53%
of that, discretionary 1,795,723,887 -53%
Number of Employees 245 -11%
of those in investment advisory functions 38 -24%
Private Fund GAV* 0
Avg Account Size 149,643,657 6769%
High Net Worth < 0.01% -100%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm
- An investment adviser (or subadviser) to an investment company

Client Types

- Investment companies

Advisory Activities

- Portfolio management for investment companies
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges

Disclosure Reporting

11.C(1) SEC/CFTC found false statement
11.C(2) SEC/CFTC found violation
11.C(5) SEC/CFTC civil penalty / cease and desist
11.D(1) Other regulator found dishonest/unethical
11.D(4) Other regulator order (past 10 yrs)
11.E(2) SRO found rule violation
View 5 DRP Records

Recent News

Reported AUM

4B 3B 3B 2B 2B 1B 576M
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

Employees

Related Companies

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