Advisors Asset Management, Inc.
- Regulatory AUM
- $2.2B
- Discretionary
- $2.2B
- Clients
- 1,505
- Avg AUM / client
- $1.5M
- Accounts
- 1,505
- Employees
- 255
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Investments (13F portfolio — 1,451 positions, $6,011,381,844)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Alphabet Inc | CAP STK CL A | $159,956,113 | 556,253 | 2.66% | 7.24% |
| 2 | Amazon Com Inc | COM | $155,427,736 | 746,280 | 2.59% | 7.04% |
| 3 | Apple Inc | COM | $133,332,383 | 525,365 | 2.22% | 6.04% |
| 4 | Microsoft Corp | COM | $101,684,589 | 274,697 | 1.69% | 4.6% |
| 5 | Walmart Inc | COM | $93,174,456 | 749,714 | 1.55% | 4.22% |
| 6 | Meta Platforms Inc | CL A | $86,853,911 | 151,808 | 1.44% | 3.93% |
| 7 | Verizon Communications Inc | COM | $60,230,010 | 1,199,801 | 1.0% | 2.73% |
| 8 | Visa Inc | COM CL A | $58,103,524 | 192,243 | 0.97% | 2.63% |
| 9 | Mastercard Incorporated | CL A | $56,461,080 | 112,999 | 0.94% | 2.56% |
| 10 | Broadcom Inc | COM | $42,303,827 | 136,680 | 0.7% | 1.91% |
| 11 | Merck & Co Inc | COM | $42,038,468 | 349,476 | 0.7% | 1.9% |
| 12 | Johnson & Johnson | COM | $40,766,725 | 166,776 | 0.68% | 1.85% |
| 13 | Shopify Inc | CL A SUB VTG SHS | $40,287,741 | 339,637 | 0.67% | 1.82% |
| 14 | Chevron Corporation | COM | $39,777,353 | 192,254 | 0.66% | 1.8% |
| 15 | International Business Machs | COM | $38,405,726 | 158,446 | 0.64% | 1.74% |
| 16 | Costco Wholesale Corporation | COM | $37,171,821 | 37,305 | 0.62% | 1.68% |
| 17 | Corning Inc | COM | $36,737,190 | 270,186 | 0.61% | 1.66% |
| 18 | Amgen Inc | COM | $36,514,641 | 103,779 | 0.61% | 1.65% |
| 19 | At&T Inc | COM | $36,270,027 | 1,251,122 | 0.6% | 1.64% |
| 20 | Cisco Sys Inc | COM | $35,748,429 | 460,735 | 0.59% | 1.62% |
| 21 | United Parcel Svcs Inc | CL B | $34,101,755 | 346,633 | 0.57% | 1.54% |
| 22 | Texas Instrs Inc | COM | $33,143,969 | 170,722 | 0.55% | 1.5% |
| 23 | T Mobile Us Inc | COM | $31,139,048 | 148,260 | 0.52% | 1.41% |
| 24 | American Express Co | COM | $30,899,239 | 102,153 | 0.51% | 1.4% |
| 25 | Coca Cola Co | COM | $28,917,252 | 380,240 | 0.48% | 1.31% |
Top 25 of 1,451 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,314 | $386M | 17.5% |
| High net worth individuals | 125 | $314M | 14.2% |
| Investment companies | 11 | $1.4B | 63.3% |
| Pooled investment vehicles (non-investment companies) | 1 | $44.6M | 2.02% |
| Pension and profit sharing plans | 6 | $4.1M | 0.19% |
| Charitable organizations | 3 | $2.1M | 0.1% |
| Corporations and other businesses | 45 | $58.5M | 2.65% |
People (133)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Christopher Thomas Genovese | Exec. Vp/Director | Oct 2004 (22y) | Less than 5% | |
| Matthew William Lloyd | Chief Investment Strategist/Exec. Vp | Dec 2004 (22y) | Less than 5% | |
| Brian Wayne Gilbert | Sr. Vp | Sep 2006 (20y) | Less than 5% | |
| Colyer, Lisa Anne | Exec. Vp/Director | Jan 2008 (19y) | Less than 5% | |
| Colyer, Scott Irvin | Chairman/Chief Executive Officer/Director | Jan 2008 (19y) | Less than 5% | |
| Meitzner, Alex Robert | Sr. Vp | Jan 2008 (19y) | Less than 5% | |
| Timothy John Stoklosa | Exec. Vp, Chief Operating Officer | Oct 2009 (17y) | Less than 5% | |
| Webber, John Edwin | Svp, Chief Compliance Officer/Secretary | Aug 2011 (15y) | Less than 5% | |
| Daniel, Bart Patrick | Chief Technology Officer/Director | Mar 2013 (13y) | Less than 5% | |
| Stewart, Richard Alan | Exec. Vp | Jul 2015 (11y) | Less than 5% | |
| Opie, Jeffrey Kurtis | Exec. Vp, Chief Financial Officer | Nov 2016 (10y) | Less than 5% | |
| Charles Edward Sickles | Exec. Vp | Feb 2017 (9y) | Less than 5% | |
| Marilee Ferone | Exec. Vp | Dec 2018 (8y) | Less than 5% | |
| Clifford Dean Corso | President/Chief Investment Officer | Jun 2021 (5y) | Less than 5% | |
| Suzanne Lynn Fletcher | Registered representative | Oct 2004 (22y) | ||
| Jeremiah Golden | Registered representative | Jun 2005 (21y) | ||
| Seth Adam Franck | Registered representative | Jun 2005 (21y) | ||
| John Zoltan Szalay | Registered representative | Jul 2005 (21y) | ||
| Lesley Rubino Costales | Registered representative | Aug 2006 (20y) | ||
| Francesco Poggi Leigh | Registered representative | Jan 2007 (20y) | ||
| Frank J Vidakovics | Registered representative | Mar 2007 (19y) | ||
| Inger Margit Jansen | Registered representative | Mar 2007 (19y) | ||
| Edward Anthony White | Registered representative | May 2007 (19y) | ||
| Daniel Martin Swallow | Registered representative | Jul 2007 (19y) | ||
| John Richard Devries | Registered representative | Jul 2007 (19y) | ||
| Peter Joseph Catalano | Registered representative | Jul 2007 (19y) | ||
| Michael Thomas Landrum | Registered representative | Sep 2007 (19y) | ||
| Kenneth Eshon Girdy | Registered representative | Mar 2008 (18y) | ||
| Donald Osborn Hobart | Registered representative | Apr 2008 (18y) | ||
| Brian Henry Beyer | Registered representative | May 2008 (18y) | ||
| Adam Davis Mayer | Registered representative | Jun 2008 (18y) | ||
| Angelique Inez Alvarado | Registered representative | Nov 2008 (18y) | ||
| Brandon S Hoyos | Registered representative | Dec 2008 (18y) | ||
| Andrew Stuart Zimmerman | Registered representative | Mar 2009 (17y) | ||
| David Ray Seibert | Registered representative | Mar 2009 (17y) | ||
| John Bradley Ruebsahm | Registered representative | Apr 2009 (17y) | ||
| George Cordell Easter | Registered representative | Jul 2009 (17y) | ||
| Brad Ryan Brondsema | Registered representative | Oct 2009 (17y) | ||
| Jacob Robert Johnston | Registered representative | Oct 2009 (17y) | ||
| David Terry Gingrich | Registered representative | Jan 2010 (17y) | ||
| Mark B Cole | Registered representative | Jun 2010 (16y) | ||
| Jacobus Johannes Visser | Registered representative | Aug 2010 (16y) | ||
| Jennifer Lynn Van Alstyne | Registered representative | Sep 2010 (16y) | ||
| Lisa Mary Cobban | Registered representative | Jun 2011 (15y) | ||
| Tracy Monroe Nolte | Registered representative | CFA | Oct 2011 (15y) | |
| Gregory Brian Clarkin | Registered representative | Jan 2013 (14y) | ||
| Tomer Daniel Yabrov | Registered representative | Feb 2013 (13y) | ||
| Matthew Daniel Wilke | Registered representative | Sep 2013 (13y) | ||
| Brad Schultheis | Registered representative | Nov 2013 (13y) | ||
| Richard Shane Johnson | Registered representative | Jan 2014 (13y) | ||
| Evangeline Katherine Kanaris | Registered representative | May 2014 (12y) | ||
| Paul Bulyalert | Registered representative | Sep 2014 (12y) | ||
| Arthur Francis Sullivan | Registered representative | Nov 2014 (12y) | ||
| Nicholas Anthony Gregoire | Registered representative | Nov 2014 (12y) | ||
| Nathan Roger Burchfield | Registered representative | CFA | Sep 2015 (11y) | |
| Timothy Randolph Boecker | Registered representative | Mar 2016 (10y) | ||
| Sterling Charles Bois Colyer | Registered representative | Feb 2017 (9y) | ||
| Rene Ramirez | Registered representative | Mar 2017 (9y) | ||
| Sonja Devon Reed | Registered representative | Nov 2017 (9y) | ||
| Patrick Dewaele Anderson | Registered representative | Dec 2017 (9y) | ||
| Michael L Meacham | Registered representative | Oct 2018 (8y) | ||
| Shawn Boyd Shepherd | Registered representative | Feb 2019 (7y) | ||
| Kenneth J Dougherty | Registered representative | Mar 2019 (7y) | ||
| Dustin Michael Allred | Registered representative | Mar 2019 (7y) | ||
| Timothy Joseph Brower | Registered representative | Jul 2019 (7y) | ||
| German Hermosillo Diaz | Registered representative | Oct 2019 (7y) | ||
| Gina Lynne Rogers | Registered representative | Oct 2019 (7y) | ||
| Victoria Grace Palermo | Registered representative | Nov 2019 (7y) | ||
| David Scott Ahern | Registered representative | Dec 2019 (7y) | ||
| Derrie Dean Wade | Registered representative | Jan 2020 (7y) | ||
| Tad Shawn Geiman | Registered representative | Jan 2020 (7y) | ||
| Thomas P Higgins | Registered representative | Oct 2020 (6y) | ||
| Kathryn Kettenhofen | Registered representative | Mar 2021 (5y) | ||
| Steven Conn | Registered representative | May 2021 (5y) | ||
| Sean James Mahoney | Registered representative | Aug 2021 (5y) | ||
| Evan C Harte | Registered representative | Aug 2021 (5y) | ||
| Madeline Hope | Registered representative | Sep 2021 (5y) | ||
| Robert Wilkinson | Registered representative | Sep 2021 (5y) | ||
| Beth Kennedy | Registered representative | Sep 2021 (5y) | ||
| Joseph James Buonocore | Registered representative | Oct 2021 (5y) | ||
| Thomas Michael De Meritt | Registered representative | Apr 2022 (4y) | ||
| Caleb Ty Avant | Registered representative | May 2022 (4y) | ||
| Michael John Pfeiffer | Registered representative | Jul 2022 (4y) | ||
| Jonathan Edward Boring | Registered representative | Aug 2022 (4y) | ||
| James Topping | Registered representative | Oct 2022 (4y) | ||
| Fernando Henrique Ciocchi De Almeida E Melo | Registered representative | Nov 2022 (4y) | ||
| Joseph A Keniston | Registered representative | Nov 2022 (4y) | ||
| Ryan N Dahl | Registered representative | Feb 2023 (3y) | ||
| Rogelio Gabriel Gonzalez | Registered representative | Feb 2023 (3y) | ||
| Steven Geoffrey Schwanekamp | Registered representative | Mar 2023 (3y) | ||
| Edward Aloyisius Koncel | Registered representative | Aug 2023 (3y) | ||
| Kevin Raymond Zellers | Registered representative | Aug 2023 (3y) | ||
| James Joseph Dooling | Registered representative | Aug 2023 (3y) | ||
| Debra Beth Felberbaum | Registered representative | CFA | Sep 2023 (3y) | |
| James Joseph Barclay | Registered representative | Sep 2023 (3y) | ||
| Michael Stuart Petrucelli | Registered representative | Sep 2023 (3y) | ||
| Alan Ira Panzer | Registered representative | Sep 2023 (3y) | ||
| Lucas Scott Lavin | Registered representative | Sep 2023 (3y) | ||
| Michael Vincent Pucci | Registered representative | Oct 2023 (3y) | ||
| Giacomo Guardavaccaro | Registered representative | Oct 2023 (3y) | ||
| Mark Andrew Barausky | Registered representative | Oct 2023 (3y) | ||
| Jonathan Bruce Ladenheim | Registered representative | Nov 2023 (3y) | ||
| Steven Noel Ruiz | Registered representative | Nov 2023 (3y) | ||
| Leo Francis Cormier | Registered representative | Feb 2024 (2y) | ||
| Justin Michael Marcus | Registered representative | Mar 2024 (2y) | ||
| Kylee Arin O'neil | Registered representative | Apr 2024 (2y) | ||
| Trang Thuy Nguyen | Registered representative | Apr 2024 (2y) | ||
| Seda Kaya | Registered representative | May 2024 (2y) | ||
| Trinity Joyce Plunk | Registered representative | May 2024 (2y) | ||
| Jason Sandler | Registered representative | Jun 2024 (2y) | ||
| Paul Anthony Bukowski | Registered representative | CFA | Jul 2024 (2y) | |
| Dustin Kyle Truitt | Registered representative | Sep 2024 (2y) | ||
| Antone Jonathan Klecha | Registered representative | Sep 2024 (2y) | ||
| Tyler Scott Weitzenfeld | Registered representative | Oct 2024 (2y) | ||
| Lloyd Elbert Pegues | Registered representative | Nov 2024 (2y) | ||
| Dwayne Javier | Registered representative | Dec 2024 (2y) | ||
| Sean Francis Mc Loughlin | Registered representative | Jan 2025 (2y) | ||
| Jake Robert White | Registered representative | Mar 2025 (1y) | ||
| Connor Alexander Huth | Registered representative | Apr 2025 (1y) | ||
| Kurt Volker Wessner | Registered representative | Jun 2025 (1y) | ||
| Brett Donald Horne | Registered representative | Jul 2025 (1y) | ||
| Robert James Ciapciak | Registered representative | Sep 2025 (1y) | ||
| James Phillip Sluis | Registered representative | CFP | Sep 2025 (1y) | |
| Edward Gregory Agamov | Registered representative | Nov 2025 (1y) | ||
| Carlos Daniel Perez | Registered representative | Nov 2025 (1y) | ||
| Brady Nicholas Wahl | Registered representative | Dec 2025 (1y) | ||
| Fabrizio Volpe Von Horoch | Registered representative | Dec 2025 (1y) | ||
| Miguel Navarrete | Registered representative | Jan 2026 (1y) | ||
| Adrianne Stewart Potwora | Registered representative | Mar 2026 (0y) | ||
| Jeffrey Paul Leone | Registered representative | Apr 2026 (0y) | ||
| Scott Nicklaus Sible | Registered representative | May 2026 (0y) | ||
| Noah Ross Shulman | Registered representative | Jun 2026 (0y) | ||
| Kelli Rose Mesi | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Aam Holdings, Inc | Shareholder | Dec 2010 | A | 75% or more |
| Sun Life Assurance Company Of Canada U.S. Operations Holdings, Inc. | Shareholder | Feb 2020 | B | 75% or more of Sun Life (U.S.) Holdco 2020 Inc. (indirect) |
| Sun Life 2007 1 Financing Corp. | Shareholder | Jul 2020 | B | 75% or more of Sun Life Assurance Company Of Canada U.S. Operations Holdings, Inc. (indirect) |
| Sun Life Global Investments Inc. | Shareholder | Nov 2016 | B | 75% or more of Sun Life 2007 1 Financing Corp. (indirect) |
| Sun Life Financial Inc. | Shareholder | Nov 2004 | B | 75% or more of Sun Life Global Investments Inc. (indirect) |
| J2 Kdls Irrevocable Trust | Member Of Common Shareholder | Jul 2021 | B | ≈ 9.38% – 37.5% via S&Lc Family Llc |
| Sun Life (U.S.) Holdco 2020, Inc. | Shareholder | Feb 2023 | B | ≈ 37.5% – 75% via Aam Holdings, Inc |
| S&Lc Family Llc | Common Shareholder | Dec 2012 | B | ≈ 18.75% – 50% via Aam Holdings, Inc |
| S&Lc Living Trust | Member Of Common Shareholder | Dec 2012 | B | ≈ 4.69% – 25% via S&Lc Family Llc |
| South Dakota Trust Company, Llc | Trustee Of Member Of Common Shareholder | Dec 2012 | B | GP / trustee / elected manager of J2 Kdls Irrevocable Trust (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- J2 Kdls Irrevocable Trust: 50% – 75% of S&Lc Family Llc × 25% – 50% of Aam Holdings, Inc × 75% – 100% direct ≈ 9.38% – 37.5% of the firm
- Sun Life (U.S.) Holdco 2020, Inc.: 50% – 75% of Aam Holdings, Inc × 75% – 100% direct ≈ 37.5% – 75% of the firm
- S&Lc Family Llc: 25% – 50% of Aam Holdings, Inc × 75% – 100% direct ≈ 18.75% – 50% of the firm
- S&Lc Living Trust: 25% – 50% of S&Lc Family Llc × 25% – 50% of Aam Holdings, Inc × 75% – 100% direct ≈ 4.69% – 25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 2.28 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE CHICAGO BOARD OF TRADE ("CBOT") ALLEGED VIOLATIONS BY SUN LIFE FINANCIAL INC. OF CBOT (LEGACY) RULE 432 AND RULE 534, RELATED TO TWO TRADES ON GLOBEX TOTALING 989 SEPTEMBER 2012 ULTRA TREASURY BOND FUTURES CONTRACTS. Status: Final Sanction Detail: A MONETARY FINE OF $50,000 USD WAS PAID TO THE CHICAGO BOARD OF TRADE ON 10/28/2014 BY SUN LIFE FINANCIAL INC. Summary: EFFECTIVE OCTOBER 27, 2014, SUN LIFE FINANCIAL INC. ("SLF"), WITHOUT ADMITTING OR DENYING RULE VIOLATIONS, AGREED TO PAY A PENALTY OF $50,000 TO SETTLE A MATTER WITH THE CHICAGO BOARD OF TRADE ("CBOT") RELATED TO ALLEGED VIOLATIONS OF CBOT (LEGACY) RULE 432 (FAILURE TO ADEQUATELY SUPERVISE ITS EMPLOYEES AND AGENTS IN THE CONDUCT OF THEIR BUSINESS RELATED TO THE EXCHANGE) AND RULE 534 (PROHIBITION ON WASH TRADES). THIS MATTER INVOLVED TWO MATCHING TRADES ON GLOBEX TOTALING 989 SEPTEMBER 2012 ULTRA TREASURY BOND FUTURES CONTRACTS FOR INDEPENDENT BUSINESS REASONS ON BEHALF OF TWO DIFFERENT INSURANCE COMPANY SUBSIDIARIES OF SLF, FOR WHICH SLF, AS THE THEN ULTIMATE PARENT COMPANY OF BOTH, WAS DEEMED TO MAINTAIN BENEFICIAL OWNERSHIP OF THE CONTRACTS ON BOTH SIDES OF THE TRADE. IN MITIGATION, FOLLOWING THIS OCCURRENCE, THE SLF SUBSIDIARIES IMPLEMENTED TRAINING PROGRAMS REGARDING THE RULES OF SUCH EXCHANGE
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT INFORMATION REGARDING PURCHASE AND SALE TRANSACTIONS EFFECTED IN MUNICIPAL SECURITIES TO THE REAL-TIME TRANSACTION REPORTING SYSTEM (RTRS). SPECIFICALLY, IN TRANSACTIONS WITH CUSTOMERS, THE FIRM FAILED TO INCLUDE SPECIFIC ITEMS OF INFORMATION LISTED FOR SUCH TRANSACTIONS IN THE SPECIFICATIONS FOR REAL-TIME REPORTING OF MUNICIPAL SECURITIES TRANSACTIONS, NAMELY THE CORRECT TIME OF EXECUTION IN 46 CUSTOMER TRANSACTIONS; THE CORRECT TIME, PRICE, AND COMMISSION IN 33 CUSTOMER TRANSACTIONS; AND THE CORRECT PRICE AND COMMISSION IN 1,032 CUSTOMER TRANSACTIONS. THE FINDINGS STATED THAT THE FIRM FAILED TO SHOW THE CORRECT TIME OF EXECUTION ON THE MEMORANDUM OF BROKERAGE ORDERS. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO DISCLOSE THE ACCURATE DOLLAR PRICE OF THE TRADE AND THE DOLLAR AMOUNT OF THE COMMISSION ON CUSTOMER CONFIRMATIONS FOR TRADES IN MUNICIPAL SECURITIES. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $10,000.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $397M (18% of AUM) Mar 2026
- Charles Schwab & Co. $164M (7% of AUM) Mar 2026
- Pershing $91.9M (4% of AUM) Mar 2026
- Wells Fargo $72.9M (6% of AUM) Dec 2017
- Ameriprise Financial Services, Inc. $62.3M (2% of AUM) Dec 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗