Advisors Asset Management, Inc.
- SEC CIK
- 0001297376
- Latest filing
- Aug 13, 2026
Holdings in Q3 2018
Holdings as of Sep 30, 2018, filed Aug 13, 2026. Long positions only; changes compare share counts with Q2 2018.
- Positions
- 1,591
- −10 vs. Q2 2018
- Portfolio value
- $6.12B
- +$229.8M (+3.9%) vs. Q2 2018
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| AMZNAmazon Com Inc | Stock | 78,929 | $158.1M | 2.6% | +1,507+1.9% | Added | History |
| MSFTMicrosoft Corp | Stock | 973,849 | $111.4M | 1.8% | +46,703+5.0% | Added | History |
| AAPLApple Inc. | Stock | 440,708 | $99.5M | 1.6% | +17,531+4.1% | Added | History |
| GOOGLAlphabet Inc. | Stock | 70,527 | $85.1M | 1.4% | +5,283+8.1% | Added | History |
| PFEPfizer Inc | Stock | 1,609,309 | $70.9M | 1.2% | −32,310−2.0% | Reduced | History |
| VZVerizon Communications Inc | Stock | 1,306,487 | $69.8M | 1.1% | +36,246+2.9% | Added | History |
| VVisa Inc. | Stock | 453,835 | $68.1M | 1.1% | +28,626+6.7% | Added | History |
| METAMeta Platforms, Inc. | Stock | 414,057 | $68.1M | 1.1% | +25,326+6.5% | Added | History |
| CSCOCisco Systems, Inc. | Stock | 1,131,092 | $55.0M | 0.9% | −138,538−10.9% | Reduced | History |
| HDHome Depot, Inc. | Stock | 231,808 | $48.0M | 0.8% | +5,817+2.6% | Added | History |
| IBMInternational Business Machines Corp | Stock | 306,943 | $46.4M | 0.8% | +12,027+4.1% | Added | History |
| MRKMerck & Co., Inc. | Stock | 650,908 | $46.2M | 0.8% | −525−0.1% | Reduced | History |
| MAMastercard Inc | Stock | 192,695 | $42.9M | 0.7% | +22,403+13.2% | Added | History |
| TAT&T Inc. | Stock | 1,216,085 | $40.8M | 0.7% | +58,188+5.0% | Added | History |
| CVXChevron Corp | Stock | 331,850 | $40.6M | 0.7% | +4,126+1.3% | Added | History |
| JNJJohnson & Johnson | Stock | 258,067 | $35.7M | 0.6% | +26,092+11.2% | Added | History |
| JPMJPMorgan Chase & Co | Stock | 303,052 | $34.2M | 0.6% | +6,794+2.3% | Added | History |
| XOMExxonMobil Holdings Corp | COM | 400,459 | $34.0M | 0.6% | −11,426−2.8% | Reduced | History |
| PYPLPayPal Holdings, Inc. | Stock | 376,645 | $33.1M | 0.5% | +25,835+7.4% | Added | History |
| LMTLockheed Martin Corp | Stock | 92,532 | $32.0M | 0.5% | −4,469−4.6% | Reduced | History |
| MOAltria Group, Inc. | Stock | 529,572 | $31.9M | 0.5% | +65,594+14.1% | Added | History |
| CVICVR Energy Inc | COM | 772,681 | $31.1M | 0.5% | −87,195−10.1% | Reduced | History |
| CMCSAComcast Corp | Stock | 875,176 | $31.0M | 0.5% | +94,568+12.1% | Added | History |
| BLKBlackRock, Inc. | COM | 64,939 | $30.6M | 0.5% | +834+1.3% | Added | History |
| CCICrown Castle Inc. | REIT | 273,870 | $30.5M | 0.5% | +20,507+8.1% | Added | History |
| KOCoca Cola Co | Stock | 656,287 | $30.3M | 0.5% | −24,373−3.6% | Reduced | History |
| ADBEAdobe Inc. | Stock | 111,478 | $30.1M | 0.5% | −6,711−5.7% | Reduced | History |
| INTCIntel Corp | Stock | 621,801 | $29.4M | 0.5% | +22,140+3.7% | Added | History |
| FDXFedEx Corp | Stock | 121,893 | $29.4M | 0.5% | +8,154+7.2% | Added | History |
| LUMNLumen Technologies, Inc. | COM | 1,356,329 | $28.8M | 0.5% | +85,473+6.7% | Added | History |
| MDTMedtronic plc | Stock | 279,026 | $27.4M | 0.4% | +5,628+2.1% | Added | History |
| Two Harbors Investment Corp.90187B408 | COM NEW | 1,803,985 | $26.9M | 0.4% | +823,904+84.1% | Added | – |
| TXNTexas Instruments Inc | Stock | 247,690 | $26.6M | 0.4% | −2,043−0.8% | Reduced | History |
| CCOICogent Communications Holdings, Inc. | COM NEW | 476,253 | $26.6M | 0.4% | +2,729+0.6% | Added | History |
| CSQCalamos Strategic Total Return Fund | COM SH BEN INT | 1,967,014 | $26.4M | 0.4% | −13,045−0.7% | Reduced | History |
| SOSouthern Co | Stock | 600,985 | $26.2M | 0.4% | +30,633+5.4% | Added | History |
| PGProcter & Gamble Co | Stock | 306,338 | $25.5M | 0.4% | +13,121+4.5% | Added | History |
| HONHoneywell International Inc | COM | 149,429 | $24.9M | 0.4% | +338+0.2% | Added | History |
| NIEVirtus Equity & Convertible Income Fund | COM | 1,079,941 | $24.8M | 0.4% | +29,926+2.9% | Added | History |
| UFSDomtar CORP | COM NEW | 464,962 | $24.3M | 0.4% | −65,929−12.4% | Reduced | History |
| CVACovanta Holding Corp | COM | 1,485,034 | $24.1M | 0.4% | −12,703−0.8% | Reduced | History |
| TMOThermo Fisher Scientific Inc. | Stock | 98,284 | $24.0M | 0.4% | +4,463+4.8% | Added | History |
| ABBVAbbVie Inc. | Stock | 252,994 | $23.9M | 0.4% | −21,389−7.8% | Reduced | History |
| OXYOccidental Petroleum Corp | Stock | 289,265 | $23.8M | 0.4% | −12,396−4.1% | Reduced | History |
| HPHelmerich & Payne, Inc. | COM | 343,203 | $23.6M | 0.4% | +5,816+1.7% | Added | History |
| PMPhilip Morris International Inc. | Stock | 288,560 | $23.5M | 0.4% | +24,942+9.5% | Added | History |
| CMPCompass Minerals International Inc | Stock | 346,388 | $23.3M | 0.4% | +14,189+4.3% | Added | History |
| UNHUnitedHealth Group Inc | Stock | 87,134 | $23.2M | 0.4% | +2,624+3.1% | Added | History |
| AMTAmerican Tower Corp | REIT | 159,074 | $23.1M | 0.4% | +8,634+5.7% | Added | History |
| OKEONEOK Inc | COM | 337,133 | $22.9M | 0.4% | +80,159+31.2% | Added | History |
| BGSB&G Foods, Inc. | COM | 832,201 | $22.8M | 0.4% | +53,767+6.9% | Added | History |
| Pattern Energy Group Inc CL A70338P100 | Stock | 1,148,539 | $22.8M | 0.4% | +62,263+5.7% | Added | – |
| QCOMQualcomm Inc | Stock | 309,340 | $22.3M | 0.4% | −29,816−8.8% | Reduced | History |
| Macquarie Infrastructure Cor55608B105 | COM | 481,676 | $22.2M | 0.4% | +47,269+10.9% | Added | – |
| MATVMativ Holdings, Inc. | COM | 579,755 | $22.2M | 0.4% | +864+0.1% | Added | History |
| RVTRoyce Small-Cap Trust, Inc. | COM | 1,352,741 | $22.1M | 0.4% | −30,460−2.2% | Reduced | History |
| Washington Prime Group New Com93964W108 | REIT | 3,029,316 | $22.1M | 0.4% | +140,041+4.8% | Added | – |
| WUWestern Union CO | Stock | 1,146,801 | $21.9M | 0.4% | +41,573+3.8% | Added | History |
| NEENextera Energy Inc | Stock | 129,427 | $21.7M | 0.4% | +2,377+1.9% | Added | History |
| GEF.BGreif, Inc | CL B | 374,339 | $21.6M | 0.4% | +7,455+2.0% | Added | History |
| GEGeneral Electric Co | COM | 1,889,542 | $21.3M | 0.3% | −142,387−7.0% | Reduced | History |
| GMEGameStop Corp. | Stock | 1,387,937 | $21.2M | 0.3% | +128,308+10.2% | Added | History |
| Semgroup Corp CL A81663A105 | Stock | 945,120 | $20.8M | 0.3% | +46,733+5.2% | Added | – |
| AXPAmerican Express Co | Stock | 195,121 | $20.8M | 0.3% | +10,950+5.9% | Added | History |
| CIIBlackRock Enhanced Large Cap Core Fund, Inc. | COM | 1,182,775 | $20.3M | 0.3% | +113,153+10.6% | Added | History |
| ACNAccenture plc | Stock | 116,938 | $19.9M | 0.3% | +2,429+2.1% | Added | History |
| WMBWilliams Companies, Inc. | COM | 711,476 | $19.3M | 0.3% | +245,694+52.7% | Added | History |
| AVKAdvent Convertible & Income Fund | COM | 1,225,630 | $19.2M | 0.3% | +650,806+113.2% | Added | History |
| UNITUniti Group Inc. | COM | 948,192 | $19.1M | 0.3% | +130,107+15.9% | Added | History |
| PPLPPL Corp | COM | 652,694 | $19.1M | 0.3% | +162,916+33.3% | Added | History |
| ACHAccendra Health Inc | Stock | 1,154,603 | $19.1M | 0.3% | +147,576+14.7% | Added | History |
| TDSTelephone & Data Systems Inc | COM NEW | 624,918 | $19.0M | 0.3% | +157,064+33.6% | Added | History |
| VGRVector Group Ltd | COM | 1,359,193 | $18.7M | 0.3% | +137,448+11.3% | Added | History |
| DUKDuke Energy CORP | Stock | 231,236 | $18.5M | 0.3% | +16,342+7.6% | Added | History |
| PEPPepsiCo Inc | Stock | 165,281 | $18.5M | 0.3% | −74,055−30.9% | Reduced | History |
| CAHCardinal Health Inc | Stock | 340,622 | $18.4M | 0.3% | +92,621+37.3% | Added | History |
| CFCF Industries Holdings, Inc. | COM | 336,110 | $18.3M | 0.3% | −149,372−30.8% | Reduced | History |
| UPSUnited Parcel Service Inc | Stock | 156,075 | $18.2M | 0.3% | +14,649+10.4% | Added | History |
| JCENuveen Core Equity Alpha Fund | COM | 1,155,549 | $18.0M | 0.3% | +32,966+2.9% | Added | History |
| OTISOtis Worldwide Corp | COM | 128,566 | $18.0M | 0.3% | −2,055−1.6% | Reduced | History |
| COSTCostco Wholesale Corp | Stock | 75,436 | $17.7M | 0.3% | +5,178+7.4% | Added | History |
| Dowdupont Inc26078J100 | COM | 273,784 | $17.6M | 0.3% | +1,749+0.6% | Added | – |
| AIFApollo Tactical Income Fund Inc. | COM | 1,130,179 | $17.6M | 0.3% | +18,652+1.7% | Added | History |
| IPInternational Paper Co | COM | 350,625 | $17.2M | 0.3% | +75,939+27.6% | Added | History |
| Xerox Corp Com New984121608 | Stock | 635,024 | $17.1M | 0.3% | +32,943+5.5% | Added | – |
| UVVUniversal Corp | COM | 260,976 | $17.0M | 0.3% | −7,928−2.9% | Reduced | History |
| PAYXPaychex Inc | Stock | 228,469 | $16.8M | 0.3% | −3,150−1.4% | Reduced | History |
| PDCOPatterson Companies, Inc. | COM | 679,132 | $16.6M | 0.3% | +196,197+40.6% | Added | History |
| ARDCAres Dynamic Credit Allocation Fund, Inc. | COM | 1,054,979 | $16.4M | 0.3% | −72,643−6.4% | Reduced | History |
| Aircastle Ltd ComG0129K104 | Stock | 741,767 | $16.3M | 0.3% | +27,571+3.9% | Added | – |
| KMFKayne Anderson NextGen Energy & Infrastructure, Inc. | COM | 1,268,935 | $16.2M | 0.3% | +506,165+66.4% | Added | History |
| UNPUnion Pacific Corp | Stock | 99,487 | $16.2M | 0.3% | −1,860−1.8% | Reduced | History |
| AESAES Corp | Stock | 1,155,577 | $16.2M | 0.3% | +1230.0% | Added | History |
| Praxair Inc74005P104 | COMMON STOCK | 100,506 | $16.2M | 0.3% | −9,470−8.6% | Reduced | – |
| QUADQuad/Graphics, Inc. | COM CL A | 774,409 | $16.1M | 0.3% | +32,832+4.4% | Added | History |
| ILMNIllumina, Inc. | COM | 43,659 | $16.0M | 0.3% | +1,809+4.3% | Added | History |
| AWPabrdn Global Premier Properties Fund | COM SH BEN INT | 2,639,713 | $16.0M | 0.3% | +30,254+1.2% | Added | History |
| PBIPitney Bowes Inc | COM | 2,218,622 | $15.7M | 0.3% | +339,800+18.1% | Added | History |
| EBAYeBay Inc | COM | 474,798 | $15.7M | 0.3% | +28,677+6.4% | Added | History |
| NMLNeuberger Energy Infrastructure & Income Fund Inc. | COM | 1,748,904 | $15.2M | 0.2% | −73,797−4.0% | Reduced | History |
Sold out since Q2 2018 (92)
Positions held at the end of Q2 2018 that are gone from this filing.
| Security | Class | Shares in Q2 2018 | Value in Q2 2018 | % of portfolio in Q2 2018 | History |
|---|---|---|---|---|---|
| Cys Invts Inc12673A108 | COM | 1,943,796 | $14.6M | 0.2% | – |
| Kayne Anderson Enrgy TTL RT48660P104 | COM | 815,299 | $7.71M | 0.1% | – |
| Advent Claymore Enh GRW & IN00765E104 | COM | 917,245 | $7.11M | 0.1% | – |
| Putnam746779107 | EXCHANGE TRADED | 671,074 | $6.26M | 0.1% | – |
| Keurig Dr Pepper Inc Com26138E109 | Stock | 47,541 | $5.80M | 0.1% | – |
| TCP Cap Corp87238Q103 | COM | 365,040 | $5.28M | 0.1% | – |
| Advent Clay Conv Sec Inc FD007639107 | COM | 624,657 | $3.49M | 0.1% | – |
| American Cap Sr Floating Ltd02504D108 | COM | 269,150 | $3.31M | 0.1% | – |
| Bank of the Ozarks063904106 | COM | 70,460 | $3.17M | 0.1% | – |
| Williams Partners L P New Com Unit Ltd Par96949L105 | Stock | 73,500 | $2.98M | 0.1% | – |
| RELX PLC75955B102 | SPONSORED ADR | 111,429 | $2.38M | <0.1% | – |
| Rice Midstream Partners LP762819100 | UNIT LTD PARTN | 92,240 | $1.57M | <0.1% | – |
| Education Rlty Tr Inc Com New28140H203 | REIT | 27,356 | $1.14M | <0.1% | – |
| Managed Duration Invt GRD Fu56165R103 | COM | 66,143 | $948.0K | <0.1% | – |
| GSBDGoldman Sachs BDC, Inc. | SHS | 37,454 | $767.0K | <0.1% | History |
| MUIBlackRock Municipal Credit Alpha Portfolio, Inc. | COM | 51,272 | $677.0K | <0.1% | History |
| EPREpr Properties | COM SH BEN INT | 7,453 | $483.0K | <0.1% | History |
| IARTIntegra Lifesciences Holdings Corp | COM NEW | 7,233 | $466.0K | <0.1% | History |
| Triangle Cap Corp895848109 | COM | 39,891 | $459.0K | <0.1% | – |
| Transmontaigne Partners L P89376V100 | COM UNIT L P | 12,121 | $447.0K | <0.1% | – |
| XL Group Ltd ComG98294104 | Stock | 7,226 | $404.0K | <0.1% | – |
| HEPHolly Energy Partners LP | COM UT LTD PTN | 14,254 | $403.0K | <0.1% | History |
| PRKSUnited Parks & Resorts Inc. | COM | 18,007 | $393.0K | <0.1% | History |
| WELLWelltower Inc. | REIT | 6,221 | $390.0K | <0.1% | History |
| GGP Inc Com36174X101 | REIT | 18,826 | $385.0K | <0.1% | – |
| Validus Holdings Ltd Com ShsG9319H102 | Stock | 4,184 | $283.0K | <0.1% | – |
| EADAllspring Income Opportunities Fund | INC OPPTY FD | 32,834 | $262.0K | <0.1% | History |
| ERCAllspring Multi-Sector Income Fund | COM | 19,884 | $248.0K | <0.1% | History |
| Tallgrass Energy Partners LP Com Unit874697105 | Stock | 5,697 | $247.0K | <0.1% | – |
| First Tr High Income L/S FD33738E109 | COM | 16,198 | $239.0K | <0.1% | – |
| HIOWestern Asset High Income Opportunity Fund Inc. | COM | 48,113 | $232.0K | <0.1% | History |
| Newfield Expl Co Com651290108 | Stock | 7,547 | $228.0K | <0.1% | – |
| ALEAllete Inc | COM NEW | 2,227 | $172.0K | <0.1% | History |
| ORAOrmat Technologies, Inc. | COM | 2,959 | $157.0K | <0.1% | History |
| ACADAcadia Pharmaceuticals Inc | COM | 9,897 | $151.0K | <0.1% | History |
| EDIVirtus Stone Harbor Emerging Markets Total Income Fund | COM | 11,397 | $147.0K | <0.1% | History |
| VLTInvesco High Income Trust II | COM | 10,492 | $142.0K | <0.1% | History |
| PETSPetmed Express Inc | COM | 2,933 | $129.0K | <0.1% | History |
| Nuveen Tax-Advantaged Divid67073G105 | COM | 7,772 | $128.0K | <0.1% | – |
| CCFChase Corp | COM | 1,068 | $125.0K | <0.1% | History |
| VGIVirtus Global Multi-Sector Income Fund | COM | 9,334 | $125.0K | <0.1% | History |
| FAXAbrdn Asia-Pacific Income Fund, Inc. | COM | 27,776 | $120.0K | <0.1% | History |
| PRFTPerficient Inc | COM | 4,332 | $114.0K | <0.1% | History |
| BFSSaul Centers, Inc. | COM | 1,817 | $97.0K | <0.1% | History |
| MSGSMadison Square Garden Sports Corp. | CL A | 302 | $94.0K | <0.1% | History |
| Tortoise MLP FD Inc89148B119 | RIGHT 07/18/2018 | 231,052 | $86.0K | <0.1% | – |
| Sinopec Shanghai Petrochemic82935M109 | SPON ADR H | 1,369 | $82.0K | <0.1% | – |
| GSMFerroglobe PLC | SHS | 9,466 | $81.0K | <0.1% | History |
| WORWorthington Enterprises, Inc. | COM | 1,837 | $77.0K | <0.1% | History |
| Quality Care Pptys Inc Com747545101 | Stock | 3,551 | $76.0K | <0.1% | – |
| EQCEQC Liquidating Trust | COM SH BEN INT | 2,201 | $69.0K | <0.1% | History |
| NXRTNexPoint Residential Trust, Inc. | COM | 2,340 | $67.0K | <0.1% | History |
| KIMKimco Realty Corp | COM | 3,897 | $66.0K | <0.1% | History |
| Unilever PLC904784709 | COM | 1,175 | $65.0K | <0.1% | – |
| Goldcorp Inc New Com380956409 | Stock | 4,674 | $64.0K | <0.1% | – |
| WGL Hldgs Inc92924F106 | COM | 671 | $60.0K | <0.1% | – |
| GOODGladstone Commercial Corp | COM | 3,094 | $59.0K | <0.1% | History |
| XIFRXPLR Infrastructure, LP | COM UNIT PART IN | 1,251 | $58.0K | <0.1% | History |
| DVADavita Inc. | COM | 794 | $55.0K | <0.1% | History |
| ALRMAlarm.com Holdings, Inc. | COM | 1,326 | $54.0K | <0.1% | History |
| BAHBooz Allen Hamilton Holding Corp | CL A | 1,196 | $52.0K | <0.1% | History |
| Cavium Inc14964U108 | COM | 603 | $52.0K | <0.1% | – |
| VREXVarex Imaging Corp | COM | 1,317 | $49.0K | <0.1% | History |
| RRGBRed Robin Gourmet Burgers Inc | COM | 1,034 | $48.0K | <0.1% | History |
| SBSCompanhia de Saneamento Basico Do Estado de Sao Paulo-Sabesp | SPONSORED ADR | 7,201 | $43.0K | <0.1% | History |
| ALLEAllegion plc | ORD SHS | 546 | $42.0K | <0.1% | History |
| JNPRJuniper Networks Inc | COM | 1,512 | $41.0K | <0.1% | History |
| Waddell & Reed Finl Inc930059100 | CL A | 2,253 | $40.0K | <0.1% | – |
| AMBAAmbarella Inc | SHS | 1,017 | $39.0K | <0.1% | History |
| AZZAzz Inc | COM | 847 | $37.0K | <0.1% | History |
| Vina Concha Y Toro S A927191106 | SPONSORED ADR | 848 | $35.0K | <0.1% | – |
| Versum Matls Inc Com92532W103 | Stock | 917 | $34.0K | <0.1% | – |
| BANCBanc of California, Inc. | COM | 1,669 | $33.0K | <0.1% | History |
| DFINDonnelley Financial Solutions, Inc. | COM | 1,843 | $32.0K | <0.1% | History |
| Inphi Corp45772F107 | COM | 935 | $30.0K | <0.1% | – |
| Atlantica Sustainable Infr PG0751N103 | SHS | 1,235 | $25.0K | <0.1% | – |
| DCT Industrial Trust Inc Com New233153204 | REIT | 283 | $19.0K | <0.1% | – |
| ASIXAdvanSix Inc. | COM | 309 | $11.0K | <0.1% | History |
| ADNTAdient plc | Stock | 103 | $5.00K | <0.1% | History |
| Halyard Health Inc Com40650V100 | Stock | 64 | $4.00K | <0.1% | – |
| iShares Tr46434V907 | CALL | 85 | $4.00K | <0.1% | – |
| SPDR Ser Tr78464A900 | CALL | 76 | $3.00K | <0.1% | – |
| Spectrum Brands Hldgs Inc Com84763R101 | Stock | 10 | $1.00K | <0.1% | – |
| Alps ETF Tr00162Q906 | CALL | 597 | $8 | <0.1% | – |
| Invesco Exchange Traded FD T46137V907 | CALL | 52 | $5 | <0.1% | – |
| Exchange Listed FDS Tr30151E904 | CALL | 76 | $3 | <0.1% | – |
| iShares Tr464287906 | CALL | 24 | $3 | <0.1% | – |
| SPDR Series Trust78464A907 | CALL | 73 | $3 | <0.1% | – |
| VanEck Vectors ETF Tr92189F907 | CALL | 91 | $2 | <0.1% | – |
| Vanguard Index FDS922908903 | CALL | 18 | $2 | <0.1% | – |
| Global X FDS37950E903 | CALL | 206 | $2 | <0.1% | – |
| VanEck ETF Trust92189F908 | CALL | 103 | $1 | <0.1% | – |