AAM

Legal name: ASSET ALLOCATION & MANAGEMENT COMPANY, LLC

CRD 109875File 801-60075

APPROVED

Retail clients

Filing as of Mar 24, 2026

Feed vintage Oct 1, 2026

Regulatory AUM

$27.49B

Top 10% of cohort (national)

Discretionary AUM

$26.73B

Non-discretionary $759.9M

Clients

123

846 accounts

Employees

Top 10% of cohort in IL

Identity & registration

ADV Item 1

Organization form: Limited Liability Company
Firm type: Registered
SEC region: CHRO
Registration date: Mar 1, 2001
Principal office: 10 S. RIVERSIDE PLAZA, STE 700, CHICAGO, IL, 60606-3798
Phone: 312-263-2900
Website: http://www.aamcompany.com/

Assets & accounts

ADV Item 5F

Total regulatory AUM: $27.49B
Discretionary AUM: $26.73B
Non-discretionary AUM: $759.9M
Discretionary accounts: 813
Non-discretionary accounts: 33
Total accounts: 846
AUM per client: $223.5M

Clients by type

ADV Item 5D

Client type	Clients	AUM
Other	1	$171.1M
Insurance companies	120	$27.12B
High net worth individuals	2	$201.5M

Compensation & activities

ADV Items 5E, 5G

Compensation

Fixed fees
Performance-based fees
A percentage of assets under your management

Advisory activities

Selection of other advisers
Portfolio management for businesses
Portfolio management for individuals and/or small businesses

Custody

ADV Item 9

Firm Custody Cash: No
Firm Custody Assets: No
Firm Custody Clients: No
Firm Custody Securities: No
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: No

Disclosure events

ADV Item 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To	Change
Apr 1, 2026	Employees	46	49	increased by3
Apr 1, 2026	Custody	Yes	No
Apr 1, 2026	AUM	$24,032,190,971	$27,488,721,707	increased by$3,456,530,736
Apr 1, 2026	Accounts	811	846	increased by35
May 1, 2025 vs Oct 1, 2022	Employees	49	46	decreased by3
May 1, 2025 vs Oct 1, 2022	Clients	122	123	increased by1
May 1, 2025 vs Oct 1, 2022	AUM	$28,965,575,307	$24,032,190,971	decreased by$4,933,384,336
May 1, 2025 vs Oct 1, 2022	Accounts	703	811	increased by108
Apr 1, 2022	Employees	46	49	increased by3
Apr 1, 2022	Clients	117	122	increased by5
Apr 1, 2022	AUM	$27,649,810,031	$28,965,575,307	increased by$1,315,765,276
Apr 1, 2022	Accounts	118	703	increased by585
Apr 1, 2021	Registration	—	APPROVED

On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.

See plans that list “AAM” as a service provider on 5500mcp →

Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“AAM” may also match similarly-named firms). Confirm identity against each filing.

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.