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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 Aug 17, 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
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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.