Advisors Asset Management, Inc.

Registered adviser

CIK

1297376

Location

Monument, CO

Portfolio Value

Mid $6,547,202,951

Diversification

Diversified

Reports for

Vident Advisory, LLC

Filing Date

Global Rank

#726 / 8,819 ▼ 23

Top Industry

Asset Management 17.0%

Period ended 4 months ago

Filed Aug 14, 2026 · 3mo

26 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Records disagree; the first in precedence decides.

Form ADV adviser

CRD 46727

Roster of Oct 1, 2026

Regulatory AUM

$2,209,285,931

Main clients

Registered funds and BDCs (63% of AUM)

Private funds

1 fund · Other private funds

Focus by fund count, roster of Oct 1, 2026

$44,581,797 gross assets

Registered funds advised

12 series (3 index, 9 ETFs)

$1,434,988,680 net assets· N-CEN Jun 30, 2026

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$2,209,285,931	Registered funds and BDCs (63%)
Apr 2025 to Mar 2026	$1,958,198,460	Registered funds and BDCs (60%)
Apr 2024 to Mar 2025	$3,853,640,375	Registered funds and BDCs (80%)
May 2023 to Mar 2024	$3,740,185,737	Registered funds and BDCs (83%)
Apr 2023	$3,740,185,737	Registered funds and BDCs (83%)
Apr 2022 to Mar 2023	$4,038,813,763	Registered funds and BDCs (83%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.

Style

Diversified active

Top 10 weight 15.5%, 208.5 effective positions, active share 51.5% against the Russell 1000 as of 2026-06-30; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

23.3% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 15.3 quarters (12+), a floor since 0.2% of the book was already held when coverage starts

Closest benchmark: the Russell 1000 as of 2026-06-30, active share 51.5%; sector active share 23.6% against the combined 13F book's sector weights.

Over time 26 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

1,408 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026

Top Position

2.9%

+0.1 pts

Top 5

10.6%

−0.2 pts

Top 10

15.5%

−0.4 pts

HHI

Diversified−0

Portfolio Trend

26 quarters · across all stocks

Sector Breakdown

As of Jun 30, 2026

Sector	% Portfolio	Value	Positions
Financial Services	23.1%	$1,509,435,421	328
Technology	20.4%	$1,338,389,796	245
Industrials	15.0%	$984,762,169	186
Communication Services	7.2%	$473,701,884	51
Healthcare	7.1%	$462,463,555	118
Consumer Cyclical	6.7%	$441,002,282	117
Consumer Defensive	5.0%	$327,367,685	59
Energy	4.9%	$321,301,409	73
Basic Materials	3.5%	$232,207,911	68
Utilities	3.3%	$215,708,456	59
Real Estate	2.9%	$192,991,592	57
Unclassified	0.7%	$47,870,791	47

Last Quarter's Activity

Export CSV

Jun 30, 2026 vs Mar 31, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
VVR	Invesco Senior Income Trust	+598,769	1,944,824	$5,834,472
NRO	Neuberger Real Estate Securities Income Fund Inc	+557,183	1,047,348	$3,173,464
NWL	Newell Brands Inc.	+531,965	1,335,420	$8,199,478
PCQ	Pimco California Municipal Income Fund	+438,723	1,652,372	$14,821,776
MMT	Aberdeen Multi-Market Income Fund	+421,358	1,305,725	$5,745,190
CWEN	Clearway Energy, Inc.	+360,352	398,750	$13,629,275
WEN	Wendy's Co	+329,127	1,201,350	$9,959,191
ORC	Orchid Island Capital, Inc.	+327,539	1,020,570	$7,113,372
MUC	Blackrock Muniholdings California Quality Fund, Inc.	+314,156	2,305,569	$25,338,203
JFR	Nuveen Floating Rate Income Fund	+274,870	1,827,295	$14,015,352
CHY	Calamos Convertible & High Income Fund	+261,297	573,420	$7,809,980
ERC	Allspring Multi-Sector Income Fund	+243,067	480,826	$4,428,407
GLQ	Clough Global Equity Fund	+242,854	383,564	$3,306,321
NAC	Nuveen California Quality Municipal Income Fund	+227,281	1,877,055	$22,749,906
JQC	Nuveen Credit Strategies Income Fund	+216,323	2,347,246	$11,407,615
NCZ	Virtus Convertible & Income Fund II	+203,210	1,296,527	$20,614,779
CHI	Calamos Convertible Opportunities & Income Fund	+202,941	533,895	$7,175,548
DX	Dynex Capital Inc	+173,638	719,965	$9,438,741
CRGY	Crescent Energy Co	+168,751	291,104	$2,858,641
NKX	Nuveen California Amt-Free Quality Municipal Income Fund	+164,851	1,240,864	$15,548,025
RMT	Royce Micro-Cap Trust, Inc.	+156,258	257,085	$3,763,724
VCV	Invesco California Value Municipal Income Trust	+155,317	1,388,219	$14,978,883
OPP	RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.	+152,738	672,863	$5,194,502
FSSL	FS Specialty Lending Fund	+152,596	267,262	$2,979,971
BGT	Blackrock Floating Rate Income Trust	+152,485	557,988	$5,948,152
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
GNL	Global Net Lease, Inc.	−302,797	125,675	$1,123,534
BGB	Blackstone Strategic Credit 2027 Term Fund	−248,345	591,684	$6,686,029
JPC	Nuveen Preferred & Income Opportunities Fund	−221,788	447,769	$3,528,419
TWOD	Two Harbors Investment Corp.	−176,806	593,402	$14,805,379
BDJ	BlackRock Enhanced Equity Dividend Trust	−175,499	120,382	$1,152,055
AES	Aes Corp	−173,292	599,455	$8,788,010
FTF	Franklin Ltd Duration Income Trust	−162,203	887,453	$5,138,352
IGA	Voya Global Advantage & Premium Opportunity Fund	−154,675	622,257	$6,160,344
HPE	Hewlett Packard Enterprise Co	−153,639	275,632	$12,433,759
TEI	Templeton Emerging Markets Income Fund	−151,711	184,551	$1,243,873
OGN	Organon & Co.	−150,724	82,327	$1,114,707
NFJ	Virtus Dividend, Interest & Premium Strategy Fund	−150,048	712,432	$10,821,842
HUN	Huntsman CORP	−140,237	465,528	$4,943,907
CC	Chemours Co	−137,670	90,663	$1,860,404
F	Ford Motor Co	−125,541	269,375	$3,744,312
XRAY	DENTSPLY SIRONA Inc.	−124,501	458,756	$4,867,401
NEA	Nuveen AMT-Free Quality Municipal Income Fund	−121,563	171,303	$2,011,097
NAD	Nuveen Quality Municipal Income Fund	−119,817	371,722	$4,505,270
CSCO	Cisco Systems, Inc.	−113,739	346,996	$40,758,150
PR	Permian Resources Corp	−111,365	135,209	$2,489,197
FCT	First Trust Senior Floating Rate Income Fund II	−111,123	582,569	$5,627,617
WDI	Western Asset Diversified Income Fund (WDI)	−104,825	75,266	$1,020,606
VTRS	Viatris Inc	−97,735	885,796	$14,066,440
ARDC	Ares Dynamic Credit Allocation Fund, Inc.	−96,281	228,388	$2,884,540
ABR	Arbor Realty Trust Inc	−94,254	931,196	$5,047,082
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
HONA	Honeywell Aerospace Inc.	25,969	$5,741,226
FDXF	FedEx Freight Holding Company, Inc.	33,485	$5,056,235
DAVE	Dave Inc.	4,886	$1,820,474
ROST	Ross Stores, Inc.	8,234	$1,752,606
WIW	Western Asset Inflation-Linked Opportunities & Income Fund	195,523	$1,642,393
DMO	Western Asset Mortgage Opportunity Fund Inc.	151,129	$1,618,591
CNXC	Concentrix Corp	70,028	$1,568,977
BCX	BlackRock Resources & Commodities Strategy Trust	135,384	$1,531,193
CP	Canadian Pacific Kansas City Ltd	17,612	$1,526,079
ZTO	ZTO Express (Cayman) Inc.	67,204	$1,504,025
UWMC	UWM Holdings Corp	589,425	$1,349,783
CTSH	Cognizant Technology Solutions Corp	31,586	$1,223,325
MMD	NYLIM MacKay DefinedTerm Muni Opportunities Fund	78,096	$1,210,488
NDMO	Nuveen Dynamic Municipal Opportunities Fund	114,033	$1,187,083
—		4,669	$880,993
USA	Liberty All Star Equity Fund	144,455	$839,283
KIO	KKR Income Opportunities Fund	73,782	$830,785
TXG	10x Genomics, Inc.	20,882	$800,615
ENR	Energizer Holdings, Inc.	32,469	$696,135
ROG	Rogers Corp	3,141	$514,275
ZS	Zscaler, Inc.	3,539	$499,529
NPK	National Presto Industries Inc	3,749	$468,587
WSFS	Wsfs Financial Corp	6,016	$461,607
JBHT	Hunt J B Transport Services Inc	1,537	$444,853
KNX	Knight-Swift Transportation Holdings Inc.	5,414	$421,588
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
PWR	Quanta Services, Inc.	44,835	$24,615,311
RTX	RTX Corp	102,208	$19,715,923
MYI	Blackrock Muniyield Quality Fund III, Inc.	981,253	$10,312,969
TGT	Target Corp	65,688	$7,961,385
COR	Cencora, Inc.	19,148	$6,015,152
VKI	Invesco Advantage Municipal Income Trust II	649,812	$5,627,371
FTNT	Fortinet, Inc.	65,952	$5,389,597
SPXC	SPX Technologies, Inc.	22,619	$4,522,442
VALE	Vale S.A.	264,243	$4,204,106
BCS	Barclays PLC	151,871	$3,213,590
PFO	Flaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INC	350,620	$3,169,604
GNT	GAMCO Natural Resources, Gold & Income Trust	376,878	$3,146,931
EW	Edwards Lifesciences Corp	28,481	$2,280,758
—		12,080	$2,148,670
DSM	Bny Mellon Strategic Municipal Bond Fund, Inc.	328,325	$1,973,233
BSL	Blackstone Senior Floating Rate 2027 Term Fund	139,476	$1,806,214
ASR	Southeast Airport Group	4,204	$1,413,090
—		40,073	$1,408,165
NXT	Nextpower Inc.	10,848	$1,307,726
FLEX	Flex Ltd.	17,514	$1,146,466
AWP	abrdn Global Premier Properties Fund	100,403	$1,109,453
NUV	Nuveen Municipal Value Fund Inc	98,140	$882,278
TDS	Telephone & Data Systems Inc	19,615	$825,791
VRSN	Verisign Inc	2,846	$706,832
PATH	UiPath, Inc.	59,877	$664,634
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

1,408 tracked positions · $6,547,202,951 total · filing declares 1,408 positions · $6,557,394,322 · as of Jun 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 1,408 positions by value · page 1 of 29

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
GOOGL	Alphabet Inc. Communication Services	Reduced	511,579	-44,674	$182,822,987	+14.3%	17	$123.00	2.79%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	717,449	-28,831	$170,996,794	+10.0%	17	unpriced	2.61%
AAPL	Apple Inc. Technology	Reduced	500,696	-24,669	$144,881,394	+8.7%	17	$157.29	2.21%
MSFT	Microsoft Corp Technology	Added	277,185	+2,488	$103,395,548	+1.7%	17	$276.02	1.58%
META	Meta Platforms, Inc. Communication Services	Added	155,324	+3,516	$87,492,455	+0.7%	17	$205.78	1.34%
WMT	Walmart Inc. Consumer Defensive	Reduced	678,683	-71,031	$76,867,636	−17.5%	17	unpriced	1.17%
MU	Micron Technology Inc Technology	Reduced	59,026	-5,457	$68,133,121	+212.8%	17	$151.98	1.04%
V	Visa Inc. Financial Services	Added	195,291	+3,048	$67,002,389	+15.3%	17	$215.15	1.02%
MA	Mastercard Inc Financial Services	Reduced	109,136	-3,863	$56,052,249	−0.7%	17	$355.69	0.86%
GLW	Corning Inc Technology	Reduced	206,405	-63,781	$52,722,029	+43.5%	17	$33.34	0.81%
IBM	International Business Machines Corp Technology	Added	174,466	+16,020	$49,061,583	+27.7%	17	$145.71	0.75%
VZ	Verizon Communications Inc Communication Services	Reduced	1,143,047	-56,754	$48,396,609	−19.6%	17	$50.26	0.74%
AVGO	Broadcom Inc. Technology	Reduced	123,935	-12,745	$46,816,446	+10.7%	17	$56.44	0.72%
TXN	Texas Instruments Inc Technology	Reduced	155,760	-14,962	$46,427,383	+40.1%	17	$173.11	0.71%
MRK	Merck & Co., Inc. Healthcare	Reduced	346,193	-3,283	$44,485,800	+5.8%	17	$88.61	0.68%
CSCO	Cisco Systems, Inc. Technology	Reduced	346,996	-113,739	$40,758,150	+14.0%	17	$47.88	0.62%
PANW	Palo Alto Networks Inc Technology	Added	119,088	+4,342	$40,611,389	+120.8%	17	$113.42	0.62%
DELL	Dell Technologies Inc. Technology	Added	92,770	+6,118	$40,026,544	+181.4%	17	$107.97	0.61%
UPS	United Parcel Service Inc Industrials	Added	371,759	+25,126	$39,964,092	+17.2%	17	$146.76	0.61%
SHOP	Shopify Inc. Technology	Reduced	327,792	-11,845	$37,427,290	−7.1%	17	unpriced	0.57%
COST	Costco Wholesale Corp Consumer Defensive	Added	38,844	+1,539	$36,337,396	−2.2%	17	$690.18	0.56%
AMGN	Amgen Inc Healthcare	Reduced	97,240	-6,539	$35,212,548	−3.6%	17	$255.17	0.54%
JNJ	Johnson & Johnson Healthcare	Reduced	137,584	-29,192	$34,942,208	−14.3%	17	$163.73	0.53%
HD	Home Depot, Inc. Consumer Cyclical	Added	97,906	+11,522	$34,529,488	+21.5%	17	$308.35	0.53%
AXP	American Express Co Financial Services	Reduced	101,475	-678	$34,323,918	+11.1%	17	$165.31	0.52%
LRCX	Lam Research Corp Technology	Reduced	75,962	-9,394	$32,916,613	+80.5%	17	unpriced	0.50%
CVX	Chevron Corp Energy	Added	198,177	+5,923	$32,849,819	−17.4%	17	$165.54	0.50%
NVDA	Nvidia Corp Technology	Reduced	155,022	-11,048	$31,018,351	+7.1%	17	$51.77	0.47%
KO	Coca Cola Co Consumer Defensive	Reduced	368,348	-11,892	$29,935,641	+3.5%	17	$62.42	0.46%
GEV	GE Vernova Inc. Industrials	Reduced	25,204	-5,692	$29,611,171	+9.8%	9	$316.84	0.45%
GS	Goldman Sachs Group Inc Financial Services	Reduced	28,942	-59	$29,271,070	+19.3%	17	$383.45	0.45%
APH	Amphenol Corp Technology	Reduced	160,534	-16,903	$28,305,354	+26.3%	17	unpriced	0.43%
PH	Parker-Hannifin Corp Industrials	Added	28,149	+1,167	$27,533,099	+14.0%	17	$624.44	0.42%
LLY	ELI LILLY & Co Healthcare	Added	22,773	+406	$27,314,621	+32.8%	17	$315.09	0.42%
CMI	Cummins Inc Industrials	Reduced	37,979	-6,250	$27,087,002	+13.8%	17	$294.64	0.41%
KYN	Kayne Anderson Energy Infrastructure Fund, Inc. Financial Services	Reduced	1,912,181	-3,707	$26,445,463	−3.3%	17	$9.49	0.40%
PG	PROCTER & GAMBLE Co Consumer Defensive	Added	178,914	+10,509	$26,235,948	+7.9%	17	$152.23	0.40%
UNH	Unitedhealth Group Inc Healthcare	Added	62,682	+1,515	$26,052,519	+57.4%	17	$426.05	0.40%
JPM	Jpmorgan Chase & Co Financial Services	Added	78,621	+2,116	$25,735,011	+14.4%	17	$145.82	0.39%
MUC	Blackrock Muniholdings California Quality Fund, Inc. Financial Services	Added	2,305,569	+314,156	$25,338,203	+22.3%	17	$10.95	0.39%
T	At&T Inc. Communication Services	Reduced	1,195,359	-55,763	$24,743,931	−31.8%	17	unpriced	0.38%
TMUS	T-Mobile US, Inc. Communication Services	Reduced	146,333	-1,927	$24,544,434	−21.2%	17	$144.20	0.37%
NEE	Nextera Energy Inc Utilities	Added	272,557	+29,610	$23,922,327	+6.0%	17	$77.91	0.37%
CLS	Celestica Inc Technology	Reduced	64,678	-18,180	$23,594,534	+1.1%	9	$102.04	0.36%
SPXX	Nuveen S&P 500 Dynamic Overwrite Fund Financial Services	Added	1,233,884	+39,836	$22,999,597	+19.9%	17	$17.50	0.35%
CMCSA	Comcast Corp Communication Services	Added	933,238	+119,134	$22,910,992	−2.0%	17	unpriced	0.35%
NAC	Nuveen California Quality Municipal Income Fund Financial Services	Added	1,877,055	+227,281	$22,749,906	+18.4%	17	$11.68	0.35%
ABBV	AbbVie Inc. Healthcare	Added	87,496	+252	$22,017,493	+16.0%	17	$165.51	0.34%
ATI	Ati Inc Industrials	Added	111,122	+8,617	$21,902,146	+46.9%	17	$59.54	0.33%
STRL	Sterling Infrastructure, Inc. Industrials	Reduced	26,080	-4,555	$21,890,508	+75.5%	17	$60.86	0.33%

Showing the top 50 of 1,408 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.