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ADVISORS ASSET MANAGEMENT, INC.

MONUMENT, CO · CRD 46727 · IAPD ↗ · aamlive.com · 719-488-9956

$2.21BRegulatory AUM
42Advisory reps
255Employees
0Clients
0Planning clients
1Private funds
51States
5Disclosures
wealthSegment
ApprovedSEC status

Filing changes

49
April 2026 — ADVISORS ASSET MANAGEMENT, INC. notice-filed in HI, PR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2026 — ADVISORS ASSET MANAGEMENT, INC. shrank from 51 to 42 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
75
April 2026 — ADVISORS ASSET MANAGEMENT, INC. now reports 1 private fund(s) ($44.6M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
50
April 2025 — ADVISORS ASSET MANAGEMENT, INC. reported RAUM down 49% ($3.85B -> $1.96B).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
55
April 2024 — ADVISORS ASSET MANAGEMENT, INC. notice-filed in DE, IA, MS, NM, NV, UT, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.