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ADVISORS ASSET MANAGEMENT, INC.
CRD 46727File 801-62731
APPROVED
Retail clients
Disclosure events
Filing as of Aug 13, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$2.21B
Top 25% of cohort (national)
Discretionary AUM
$2.21B
Non-discretionary $1.3M
Clients
1,505
1,505 accounts
Employees
255
Top 25% of cohort in CO
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- Feb 6, 2004
- Principal office
- 18925 BASE CAMP ROAD, SUITE 203, MONUMENT, CO, 80132
- Phone
- 719-488-9956
- Website
- https://wistia.com/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.21B
- Discretionary AUM
- $2.21B
- Non-discretionary AUM
- $1.3M
- Discretionary accounts
- 1,460
- Non-discretionary accounts
- 45
- Total accounts
- 1,505
- AUM per client
- $1.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 45 | $58.5M |
| Investment companies | 11 | $1.40B |
| Charitable organizations | 3 | $2.1M |
| High net worth individuals | 125 | $314.2M |
| Pooled investment vehicles | 1 | $44.6M |
| Pension and profit sharing plans | 6 | $4.1M |
| Individuals (other than high net worth individuals) | 1,314 | $386.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Portfolio management for businesses
- Portfolio management for investment companies
- 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- Q11
- Q11C1
- Q11C2
- Q11C5
- Q11D4
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 274 | 255 | decreased by19 |
| Apr 1, 2026 | Clients | 1,867 | 1,505 | decreased by362 |
| Apr 1, 2026 | AUM | $1,958,198,460 | $2,209,285,931 | increased by$251,087,471 |
| Apr 1, 2026 | Accounts | 1,591 | 1,505 | decreased by86 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 261 | 274 | increased by13 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,512 | 1,867 | increased by355 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $4,038,813,763 | $1,958,198,460 | decreased by$2,080,615,303 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,512 | 1,591 | increased by79 |
| Apr 1, 2022 | Employees | 268 | 261 | decreased by7 |
| Apr 1, 2022 | Clients | 1,532 | 1,512 | decreased by20 |
| Apr 1, 2022 | AUM | $3,259,077,411 | $4,038,813,763 | increased by$779,736,352 |
| Apr 1, 2022 | Accounts | 1,532 | 1,512 | decreased by20 |
| 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 “ADVISORS ASSET” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ADVISORS ASSET” 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.