ADVISORS ASSET MANAGEMENT, INC.
ADVISORS ASSET MANAGEMENT, INC. (CRD# 46727) is an SEC-Registered Investment Advisor (RIA), headquartered in Monument, CO. The SEC approved the firm to operate as an RIA in Feb 2004. In Oct 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $1.4 Billion, and has discretion over 97% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .
ADVISORS ASSET MANAGEMENT, INC. also reported in Oct 2018: 243 employees, with 50 performing advisory functions. A total of 11 office locations. No registrations with foreign financial regulatory authorities. NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
ADVISORS ASSET MANAGEMENT, INC. has one or more disclosure events currently on file with the SEC.
View ADVISORS ASSET MANAGEMENT, INC.'s most recent Form ADV filing
ADVISORS ASSET MANAGEMENT, INC. has Notice Filings with the following State Securities Authorities: AL-Mar 2015, AR-Mar 2012, AZ-Mar 2006, CA-Aug 2002, CO-Apr 2004 , CT-Mar 2012, DE-Mar 2012, FL-Feb 2004, GA-Feb 2004, HI-Mar 2013 , IA-Mar 2015, ID-Mar 2012, IL-Feb 2004, IN-Mar 2015, KS-Jan 2013 , KY-Mar 2012, LA-Feb 2011, MA-Aug 2006, MD-Aug 2006, ME-Mar 2015 , MI-Jan 2013, MO-Mar 2012, MT-Mar 2015, NC-Mar 2007, NH-Mar 2013 , NJ-Mar 2006, NM-Feb 2011, NV-Feb 2011, NY-Feb 2004, OH-Jul 2007 , OK-Mar 2015, OR-Feb 2011, PA-Jan 2007, SC-Mar 2012, SD-Mar 2012 , TN-Feb 2011, TX-Mar 1999, UT-Mar 2012, VA-Feb 2011, VT-Mar 2012 , WA-Feb 2004, WI-Mar 2012
Disclaimer:  The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel Free to contact FindingFraud.org with questions or concerns.