Broker-dealer firm · Monument, CO
Advisors Asset Management, Inc.
SEC-registered investment adviser · CRD 46727 · SEC 801-62731
At a glance
Advisors Asset Management, Inc. is an SEC-registered investment adviser based in Monument, Colorado, with $2.2 billion in regulatory assets under management as of its Form ADV filed August 13, 2026. Its largest client group by assets is investment companies, and it reports 1,439 individual clients. By Form ADV it is a broker-dealer firm, ranked 124th of 391 broker-dealer firms and 3,434th of 17,210 SEC-registered advisers by assets.
Main office 719-488-9956aamlive.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.2B
- Rank among broker-dealer firms
- #124 of 391
- Rank among all SEC RIAs
- #3,434 of 17,210
- Rank in Colorado
- #44 of 359
- Individual clients
- 1,439
- High-net-worth clients
- 125
- Accounts
- 1,505
- Discretionary
- 100% of AUM
- Employees
- 255
- Advisory staff
- 42
- Offices
- 9
Owners and executives on its Form ADV
- Christopher Thomas GenoveseExec. Vp/director
- Alex Robert MeitznerSr. vp
- John Edwin WebberSVP, Chief Compliance Officer/secretary
- Bart Patrick DanielChief Technology Officer/director
- Brian Wayne GilbertSr. vp
- Matthew William LloydChief Investment Strategist/exec. Vp/director
- Richard Alan StewartExec. VP
- Timothy John StoklosaExec. VP, Chief Operating Officer
- Jeffrey Kurtis OpieExec. VP, Chief Financial Officer
- Charles Edward SicklesExec. VP
- Marilee FeroneExec. VP
- Clifford Dean CorsoChief Executive Officer/chief Investment Officer/director
Custody and brokerage
Broker-dealer
Hybrid RIA
Advisors Asset Management, Inc. is a hybrid RIA: 198 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Bentallgreenoak Real Estate US LLC, MFS Fund Distributors, Inc., Slgi Asset Management Inc, Sun Life Capital Management (canada) LLC, Sun Life Global Investments (canada) Inc. and Sun Life Institutional Distributors (u.s.) LLC.
- Bentallgreenoak Real Estate US LLC ↗CRD 157909
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
- MFS Fund Distributors, Inc. ↗CRD 31052
- Slgi Asset Management Inc
- Sun Life Capital Management (canada) LLC
- Sun Life Global Investments (canada) Inc.
- Sun Life Institutional Distributors (u.s.) LLC ↗CRD 170062
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, February 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 11 | $1.4B | 63% |
| Individuals | 1,314 | $386M | 17% |
| High-net-worth individuals | 125 | $314M | 14% |
| Corporations or other businesses | 45 | $59M | 3% |
| Pooled investment vehicles | 1 | $45M | 2% |
| Pension and profit sharing plans | 6 | $4M | <1% |
| Charitable organizations | 3 | $2M | <1% |
Private funds
Advisors Asset Management, Inc. reports 1 private funds with $45M in gross assets: other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Advisors Asset Management, Inc. answers yes to 5 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for businesses and institutions
- Other services
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗aamlive.com ↗
AtlasMembers
The full record on Advisors Asset Management, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 96 peers of its type and size
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- Owners and executives, with titles and stakes
- 12 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
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Background
Questions
How much does Advisors Asset Management, Inc. manage?
Advisors Asset Management, Inc. reports $2.2 billion in regulatory assets under management across 1,505 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 13, 2026.
What kind of firm is Advisors Asset Management, Inc.?
Advisors Asset Management, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. A public reporting company controls it.
Who are Advisors Asset Management, Inc.’s clients?
By assets, its largest client types are investment companies ($1.4 billion, 11 clients); individuals ($386 million, 1,314 clients); high-net-worth individuals ($314 million, 125 clients).
Does Advisors Asset Management, Inc. manage private funds?
Yes. It reports 1 private funds with $45 million in gross assets, including other private funds.
Does Advisors Asset Management, Inc. have any disciplinary history?
Advisors Asset Management, Inc. answers yes to 5 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Advisors Asset Management, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-13), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →