ADVISORS ASSET MANAGEMENT, INC.
Latest filing: Jul 29, 2024 (265 days ago)
AUM
$3,853,640,375
0% change vs. 1 year ago
-5% change vs. 3 years ago
37% change vs. 5 years ago
489% change vs. 10 years ago
Employee Count
272
0% change vs. 1 year ago
4% change vs. 3 years ago
3% change vs. 5 years ago
12% change vs. 10 years ago
Main Office
MONUMENT, CO
18925 BASE CAMP ROAD, MONUMENT, CO, UNITED STATES, 80132
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $3.8 |
| Non-Discretionary | $0.0 |
| Total | $3.9 |
| Client | AUM |
|---|---|
| Retail | $0.6 |
| Pooled | $3.1 |
| Institutional | $0.1 |
| Total | $3.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 1,310 | $0.4 |
| Average Individual AUM | $278,406 | |
| HNW | 110 | $0.3 |
| Average HNW AUM | $2,434,043 | |
| Retail Total | 1,420 | $0.6 |
| Average Retail AUM | $445,392 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $0.4 |
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $0.2 |
| PERSHING LLC | JERSEY CITY-NJ-USA | $0.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.8 |
| Retail SMA AUM | $0.6 |
| Institutional SMA AUM | $0.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 5% | $0.0 |
| Equity Non-Exch | 1% | $0.0 |
| Govt Agency | 4% | $0.0 |
| Municipal | 67% | $0.5 |
| Sovereign | 0% | $0.0 |
| IG Credit | 15% | $0.1 |
| HY Credit | 1% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 1% | $0.0 |
| Cash | 6% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.8 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| MASSACHUSETTS FINANCIAL SERVICES COMPANY | $454.3 | 110045 | |
| MFS INSTITUTIONAL ADVISORS INC. | $128.5 | 107144 | |
| SUN LIFE CAPITAL MANAGEMENT (U.S.) LLC | $69.5 | 109684 | |
| CRESCENT CAPITAL GROUP LP | $42.6 | 153966 | |
| CRESCENT CAPITAL GROUP LP | $42.6 | 153966 | |
| BENTALLGREENOAK (U.S.) LIMITED PARTNERSHIP | $24.7 | 111470 | |
| BGO US REAL ESTATE LP | $16.1 | 157034 | |
| BENTALLGREENOAK STRATEGIC CAPITAL PARTNERS LLC | $3.5 | 137813 | |
| CRESCENT CAP ADVISORS, LLC | $1.8 | 175430 | |
| INFRARED CAPITAL PARTNERS (US) LLC | $1.8 | 310401 | |
| CRESCENT CAP NT ADVISORS, LLC | $0.1 | 324139 | |
| INFRARED CAPITAL PARTNERS LIMITED | $0.0 | 161187 | |
| BENTALLGREENOAK REAL ESTATE US LLC | $0.0 | broker-dealer | 157909 |
| SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC | $0.0 | broker-dealer | 170062 |
| MFS FUND DISTRIBUTORS, INC. | $0.0 | broker-dealer | 31052 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
29 active
| Name | Title |
|---|---|
| COLYER, SCOTT IRVIN | CHAIRMAN/CHIEF EXECUTIVE OFFICER/DIRECTOR, CO-MANAGER OF COMMON SHAREHOLDER, CO-TRUSTEE OF MEMBER OF COMMON SHAREHOLDER |
| COLYER, LISA ANNE | EXEC. VP/DIRECTOR, CO-MANAGER OF COMMON SHAREHOLDER, CO-TRUSTEE OF MEMBER OF COMMON SHAREHOLDER |
| GENOVESE, CHRISTOPHER THOMAS | MANAGING DIRECTOR/DIRECTOR |
| COSTAS, JAMES ROBERT | EXEC. VP/DIRECTOR |
| MEITZNER, ALEX ROBERT | SR. VP |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR |
| GILBERT, BRIAN WAYNE | SR. VP |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP |
| STEWART, RICHARD ALAN | EXEC. VP |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER |
| SICKLES, CHARLES EDWARD | EXEC. VP |
| FERONE, MARILEE | EXEC. VP |
| CORSO, CLIFFORD D | PRESIDENT/CHIEF INVESTMENT OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
147 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| STEVEN SCHWANEKAMP | MONUMENT | CO | S63|1995-05-08|S65|2023-02-28 | ||||||
| GREGORY CLARKIN | MONUMENT | CO | S66|2002-03-18 | ||||||
| JOSEPH KENISTON | MONUMENT | CO | S66|2017-11-06 | ||||||
| MATTHEW LLOYD | MONUMENT | CO | S63|1994-04-14|S65|1996-12-06|S66|2004-12-02 | ||||||
| PAULINA KASHIRSKY | MONUMENT | CO | S66|2011-12-29 | ||||||
| JASON HAGEMANN | MONUMENT | CO | S63|2016-12-23|S66|2017-09-15 | ||||||
| JENNIFER VAN ALSTYNE | MONUMENT | CO | S63|2000-10-27|S65|2002-09-16 | ||||||
| MATTHEW WILKE | MONUMENT | CO | S63|2006-06-27|S66|2013-08-30 | ||||||
| MICHAEL MEACHAM | MONUMENT | CO | S63|1992-10-13|S65|1994-09-12 | ||||||
| CASEY GAGE | MONUMENT | CO | S63|2005-06-24|S66|2006-03-13|S65|2016-08-16 | ||||||
| PATRICK ANDERSON | MONUMENT | CO | S66|2003-12-19 | ||||||
| TRANG NGUYEN | MONUMENT | CO | S63|2007-09-21|S66|2024-04-17 | ||||||
| EDWARD WHITE | MONUMENT | CO | S66|2007-05-15 | ||||||
| LEO CORMIER | MONUMENT | CO | S66|2023-12-26 | ||||||
| JOHN SZALAY | MONUMENT | CO | S63|2000-10-25|S66|2005-07-07 | ||||||
| SONJA REED | MONUMENT | CO | S66|2017-11-22 | ||||||
| CLIFFORD CORSO | MONUMENT | CO | S63|1995-08-01|S65|2024-03-11 | ||||||
| ROBERT KRUSE | MONUMENT | CO | S63|2000-03-07|S66|2017-05-22 | ||||||
| JAMES DOOLING | MONUMENT | CO | S63|2007-09-06|S65|2007-10-29 | ||||||
| FREDERICK WEIHMILLER | MONUMENT | CO | S66|2022-07-16 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $3.9 | $0.0 | 0% | 272 | 0 | 0% |
| 2024-04-02 | $3.9 | $0.0 | 0% | 272 | 0 | 0% |
| 2023-04-04 | $3.7 | $0.1 | 3% | 253 | 19 | 8% |
| 2022-04-01 | $4.0 | -$0.2 | -5% | 261 | 11 | 4% |
| 2021-04-05 | $3.3 | $0.6 | 18% | 268 | 4 | 1% |
| 2020-04-01 | $2.8 | $1.0 | 37% | 263 | 9 | 3% |
| 2019-04-01 | $1.6 | $2.2 | 139% | 242 | 30 | 12% |
| 2018-04-02 | $1.4 | $2.5 | 182% | 243 | 29 | 12% |
| 2017-04-01 | $1.2 | $2.7 | 230% | 245 | 27 | 11% |
| 2016-04-01 | $0.8 | $3.0 | 376% | 249 | 23 | 9% |
| 2015-04-01 | $0.7 | $3.2 | 489% | 243 | 29 | 12% |
| 2014-04-01 | $0.5 | $3.4 | 685% | 244 | 28 | 11% |
| 2013-04-01 | $0.5 | $3.4 | 754% | 275 | -3 | -1% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CO, AK-03/29/2019, AL-03/23/2015, AR-03/27/2012, AZ-03/17/2006, CA-08/06/2002, CO-04/14/2004, CT-03/27/2012, DC-03/29/2019, DE-03/28/2024, FL-02/06/2004, GA-02/06/2004, IA-03/28/2024, ID-03/27/2012, IL-02/27/2004, IN-03/20/2015, KS-01/03/2020, KY-03/27/2012, LA-02/04/2011, MA-08/10/2006, MD-08/10/2006, ME-03/20/2015, MI-01/04/2013, MN-03/29/2019, MO-03/27/2012, MS-03/28/2024, MT-03/20/2015, NC-03/19/2007, ND-03/29/2019, NE-03/29/2019, NH-03/13/2013, NJ-03/17/2006, NM-03/28/2024, NV-03/28/2024, NY-02/06/2004, OH-07/05/2007, OK-03/20/2015, OR-02/04/2011, PA-01/04/2007, PR-03/29/2019, RI-03/29/2019, SC-03/27/2012, SD-03/27/2012, TN-02/04/2011, TX-03/23/1999, UT-03/28/2024, VA-02/04/2011, VT-03/27/2012, WA-02/06/2004, WI-03/27/2012, WY-03/28/2024 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
BROKER DEALER |
ADVDB.CO • SOURCE: SEC FORM ADV