Advisors Asset Management, Inc.

Registered investment adviser · Monument, CO · CRD #46727

Form ADV data as of 2026-11-01

Regulatory assets

$1.80 billion

Total accounts

Employees

242

Disclosure events

Firm details

Website: https://www.buzzspout.com/1451995
Telephone: 719-488-9956
SEC file number: 801-62731
Most recent Form ADV filing: 2026-10-29
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 5 disclosure questions answered Yes, covering 5 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$1.80 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$1.80 billion
Discretionary accounts	12
Non-discretionary accounts	0
Total accounts	12
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	242
Employees performing investment advisory functions (including research)	36
Employees who are registered representatives of a broker-dealer	180
Employees registered as investment adviser representatives with a state	121
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under management

Advisory services offered

Portfolio management for investment companiesOther

Other business activities

Broker-dealer (registered or unregistered)

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Commodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients

Client types

Type of client	Clients	Assets
Investment companies	12	$1.80 billion