ADVISORS ASSET MANAGEMENT, INC.
Company Profile
| AUM* | 2,209,285,931 -43% |
| of that, discretionary | 2,208,033,584 -43% |
| Number of Employees | 257 -6% |
| of those in investment advisory functions | 43 -14% |
| Private Fund GAV* | 44,581,797 |
| Avg Account Size | 1,467,964 -33% |
| High Net Worth | 8.31% 33% |
| SMA’s | Yes |
| Private Funds | 1 1 |
Adviser Type
- Large advisory firm
- An investment adviser (or subadviser) to an investment company
- An investment adviser (or subadviser) to an investment company
Client Types
- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Pooled investment vehicles
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above
Advisory Activities
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses
- 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 |
Recent News
Reported AUM
4B
3B
3B
2B
2B
1B
576M
2015
2016
2017
2018
2019
2020
2021
2022
2023
2024
2025
2026
Private Funds
Employees
Private Funds Structure
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