Advisors Asset Management, Inc.
- SEC CIK
- 0001297376
- Latest filing
- Aug 13, 2026
Holdings in Q3 2019
Holdings as of Sep 30, 2019, filed Aug 18, 2026. Long positions only; changes compare share counts with Q2 2019.
- Positions
- 1,573
- +20 vs. Q2 2019
- Portfolio value
- $5.43B
- −$184.8M (−3.3%) vs. Q2 2019
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| MSFTMicrosoft Corp | Stock | 1,036,376 | $144.1M | 2.7% | +27,181+2.7% | Added | History |
| AMZNAmazon Com Inc | Stock | 67,963 | $118.0M | 2.2% | −225−0.3% | Reduced | History |
| AAPLApple Inc. | Stock | 439,585 | $98.5M | 1.8% | +10,803+2.5% | Added | History |
| GOOGLAlphabet Inc. | Stock | 76,878 | $93.9M | 1.7% | +2,236+3.0% | Added | History |
| METAMeta Platforms, Inc. | Stock | 444,707 | $79.2M | 1.5% | +13,695+3.2% | Added | History |
| VVisa Inc. | Stock | 454,648 | $78.2M | 1.4% | −520.0% | Reduced | History |
| MAMastercard Inc | Stock | 223,145 | $60.6M | 1.1% | +3,966+1.8% | Added | History |
| VZVerizon Communications Inc | Stock | 991,787 | $59.9M | 1.1% | −83,020−7.7% | Reduced | History |
| JPMJPMorgan Chase & Co | Stock | 432,707 | $50.9M | 0.9% | +9,789+2.3% | Added | History |
| HDHome Depot, Inc. | Stock | 217,998 | $50.6M | 0.9% | +7,065+3.3% | Added | History |
| CMCSAComcast Corp | Stock | 1,099,363 | $49.6M | 0.9% | +45,021+4.3% | Added | History |
| TAT&T Inc. | Stock | 1,272,887 | $48.2M | 0.9% | −22,209−1.7% | Reduced | History |
| IBMInternational Business Machines Corp | Stock | 322,685 | $46.9M | 0.9% | −1,614−0.5% | Reduced | History |
| CVXChevron Corp | Stock | 370,242 | $43.9M | 0.8% | +18,188+5.2% | Added | History |
| AMTAmerican Tower Corp | REIT | 177,525 | $39.3M | 0.7% | −4,939−2.7% | Reduced | History |
| CCICrown Castle Inc. | REIT | 278,730 | $38.7M | 0.7% | −1,369−0.5% | Reduced | History |
| PFEPfizer Inc | Stock | 1,049,570 | $37.7M | 0.7% | −87,465−7.7% | Reduced | History |
| LMTLockheed Martin Corp | Stock | 96,140 | $37.5M | 0.7% | +5,373+5.9% | Added | History |
| KOCoca Cola Co | Stock | 663,673 | $36.1M | 0.7% | +10,794+1.7% | Added | History |
| NEENextera Energy Inc | Stock | 153,548 | $35.8M | 0.7% | +11,918+8.4% | Added | History |
| CSCOCisco Systems, Inc. | Stock | 722,950 | $35.7M | 0.7% | −45,729−5.9% | Reduced | History |
| PYPLPayPal Holdings, Inc. | Stock | 328,608 | $34.0M | 0.6% | +14,744+4.7% | Added | History |
| TXNTexas Instruments Inc | Stock | 256,320 | $33.1M | 0.6% | +19,809+8.4% | Added | History |
| MDTMedtronic plc | Stock | 298,917 | $32.5M | 0.6% | +25,367+9.3% | Added | History |
| PGProcter & Gamble Co | Stock | 258,988 | $32.2M | 0.6% | −21,293−7.6% | Reduced | History |
| JNJJohnson & Johnson | Stock | 241,734 | $31.3M | 0.6% | −1,740−0.7% | Reduced | History |
| SOSouthern Co | Stock | 468,745 | $29.0M | 0.5% | −73,117−13.5% | Reduced | History |
| MCDMcDonalds Corp | Stock | 128,426 | $27.6M | 0.5% | +9,007+7.5% | Added | History |
| XOMExxonMobil Holdings Corp | COM | 375,272 | $26.5M | 0.5% | +20,074+5.7% | Added | History |
| INTCIntel Corp | Stock | 513,276 | $26.4M | 0.5% | +14,185+2.8% | Added | History |
| HONHoneywell International Inc | COM | 146,488 | $24.8M | 0.5% | +273+0.2% | Added | History |
| CHTRCharter Communications, Inc. | CL A | 58,947 | $24.3M | 0.4% | +1,222+2.1% | Added | History |
| AXPAmerican Express Co | Stock | 202,813 | $24.0M | 0.4% | +2,394+1.2% | Added | History |
| DDominion Energy, Inc | Stock | 295,329 | $23.9M | 0.4% | −30,525−9.4% | Reduced | History |
| Pattern Energy Group Inc CL A70338P100 | Stock | 885,997 | $23.9M | 0.4% | −150,975−14.6% | Reduced | – |
| MRKMerck & Co., Inc. | Stock | 279,867 | $23.6M | 0.4% | −131,294−31.9% | Reduced | History |
| WUWestern Union CO | Stock | 1,001,083 | $23.2M | 0.4% | −104,235−9.4% | Reduced | History |
| ABBVAbbVie Inc. | Stock | 298,335 | $22.6M | 0.4% | +10,912+3.8% | Added | History |
| NIEVirtus Equity & Convertible Income Fund | COM | 1,044,965 | $22.6M | 0.4% | −59,854−5.4% | Reduced | History |
| EBAYeBay Inc | COM | 565,455 | $22.0M | 0.4% | +22,015+4.1% | Added | History |
| UPSUnited Parcel Service Inc | Stock | 183,317 | $22.0M | 0.4% | +10,032+5.8% | Added | History |
| PPLPPL Corp | COM | 690,941 | $21.8M | 0.4% | −36,369−5.0% | Reduced | History |
| SBUXStarbucks Corp | Stock | 244,889 | $21.7M | 0.4% | +4,882+2.0% | Added | History |
| TMOThermo Fisher Scientific Inc. | Stock | 74,186 | $21.6M | 0.4% | −8,334−10.1% | Reduced | History |
| WDCWestern Digital Corp | COM | 354,972 | $21.2M | 0.4% | +49,829+16.3% | Added | History |
| ACNAccenture plc | Stock | 108,320 | $20.8M | 0.4% | +2,981+2.8% | Added | History |
| CVICVR Energy Inc | COM | 471,187 | $20.7M | 0.4% | −75,053−13.7% | Reduced | History |
| COSTCostco Wholesale Corp | Stock | 71,790 | $20.7M | 0.4% | −3,129−4.2% | Reduced | History |
| ADBEAdobe Inc. | Stock | 74,551 | $20.6M | 0.4% | −7,092−8.7% | Reduced | History |
| Aircastle Ltd ComG0129K104 | Stock | 912,528 | $20.5M | 0.4% | −103,658−10.2% | Reduced | – |
| BLKBlackRock, Inc. | COM | 45,161 | $20.1M | 0.4% | −5,709−11.2% | Reduced | History |
| MRSHMarsh & McLennan Companies, Inc. | Stock | 200,433 | $20.1M | 0.4% | +15,071+8.1% | Added | History |
| OKEONEOK Inc | COM | 271,143 | $20.0M | 0.4% | −79,605−22.7% | Reduced | History |
| VGRVector Group Ltd | COM | 1,656,476 | $19.7M | 0.4% | +31,208+1.9% | Added | History |
| CAHCardinal Health Inc | Stock | 412,781 | $19.5M | 0.4% | −29,122−6.6% | Reduced | History |
| CMPCompass Minerals International Inc | Stock | 342,271 | $19.3M | 0.4% | −20,260−5.6% | Reduced | History |
| CVACovanta Holding Corp | COM | 1,110,877 | $19.2M | 0.4% | −143,320−11.4% | Reduced | History |
| FFord Motor Co | Stock | 2,080,656 | $19.1M | 0.4% | +177,594+9.3% | Added | History |
| PMPhilip Morris International Inc. | Stock | 249,714 | $19.0M | 0.3% | −29,309−10.5% | Reduced | History |
| MOAltria Group, Inc. | Stock | 453,403 | $18.5M | 0.3% | −18,707−4.0% | Reduced | History |
| ABTAbbott Laboratories | Stock | 220,982 | $18.5M | 0.3% | +11,347+5.4% | Added | History |
| QCOMQualcomm Inc | Stock | 237,593 | $18.1M | 0.3% | −82,156−25.7% | Reduced | History |
| AVKAdvent Convertible & Income Fund | COM | 1,218,587 | $17.8M | 0.3% | −90,003−6.9% | Reduced | History |
| PEPPepsiCo Inc | Stock | 129,570 | $17.8M | 0.3% | +17,066+15.2% | Added | History |
| PAYXPaychex Inc | Stock | 211,823 | $17.5M | 0.3% | +10,867+5.4% | Added | History |
| GEF.BGreif, Inc | CL B | 380,889 | $17.4M | 0.3% | −21,117−5.3% | Reduced | History |
| Macquarie Infrastructure Cor55608B105 | COM | 438,032 | $17.3M | 0.3% | −46,274−9.6% | Reduced | – |
| CVSCVS Health Corp | Stock | 266,774 | $16.8M | 0.3% | +51,046+23.7% | Added | History |
| LUMNLumen Technologies, Inc. | COM | 1,335,717 | $16.7M | 0.3% | −61,882−4.4% | Reduced | History |
| CCOICogent Communications Holdings, Inc. | COM NEW | 297,775 | $16.4M | 0.3% | −94,446−24.1% | Reduced | History |
| FDXFedEx Corp | Stock | 112,624 | $16.4M | 0.3% | −5,357−4.5% | Reduced | History |
| Two Harbors Investment Corp.90187B408 | COM NEW | 1,237,499 | $16.2M | 0.3% | −137,701−10.0% | Reduced | – |
| OTISOtis Worldwide Corp | COM | 115,822 | $15.8M | 0.3% | −5,173−4.3% | Reduced | History |
| First Tr Energy Infrastrctr33738C103 | COM | 923,426 | $15.2M | 0.3% | +136,634+17.4% | Added | – |
| PDCOPatterson Companies, Inc. | COM | 838,569 | $14.9M | 0.3% | −60,453−6.7% | Reduced | History |
| IGRCbre Global Real Estate Income Fund | COM | 1,870,457 | $14.8M | 0.3% | +129,215+7.4% | Added | History |
| KROKronos Worldwide Inc | COM | 1,187,375 | $14.7M | 0.3% | +185,282+18.5% | Added | History |
| BGSB&G Foods, Inc. | COM | 771,307 | $14.6M | 0.3% | −45,790−5.6% | Reduced | History |
| NFJVirtus Dividend, Interest & Premium Strategy Fund | COM | 1,184,900 | $14.5M | 0.3% | +63,209+5.6% | Added | History |
| UNHUnitedHealth Group Inc | Stock | 66,624 | $14.5M | 0.3% | −7,947−10.7% | Reduced | History |
| NLYAnnaly Capital Management Inc | COM | 1,628,684 | $14.3M | 0.3% | +234,422+16.8% | Added | History |
| Clearway Energy, Inc.18539C105 | CL A | 824,530 | $14.3M | 0.3% | +172,371+26.4% | Added | – |
| GILDGilead Sciences, Inc. | Stock | 224,538 | $14.2M | 0.3% | +27,824+14.1% | Added | History |
| APDAir Products & Chemicals, Inc. | Stock | 63,951 | $14.2M | 0.3% | +2,009+3.2% | Added | History |
| PCARPaccar Inc | COM | 195,419 | $13.7M | 0.3% | +39,916+25.7% | Added | History |
| BBT Corp Com054937107 | COM | 255,674 | $13.6M | 0.3% | +8,335+3.4% | Added | – |
| WMBWilliams Companies, Inc. | COM | 552,707 | $13.3M | 0.2% | −190,941−25.7% | Reduced | History |
| MMM3M Co | Stock | 79,466 | $13.1M | 0.2% | +23,348+41.6% | Added | History |
| KHCKraft Heinz Co | Stock | 458,433 | $12.8M | 0.2% | +96,515+26.7% | Added | History |
| AMGNAmgen Inc | Stock | 66,045 | $12.8M | 0.2% | −422−0.6% | Reduced | History |
| RVTRoyce Small-Cap Trust, Inc. | COM | 912,924 | $12.6M | 0.2% | −80,115−8.1% | Reduced | History |
| CIIBlackRock Enhanced Large Cap Core Fund, Inc. | COM | 773,664 | $12.5M | 0.2% | −223,554−22.4% | Reduced | History |
| Semgroup Corp CL A81663A105 | Stock | 764,954 | $12.5M | 0.2% | −220,649−22.4% | Reduced | – |
| ILMNIllumina, Inc. | COM | 40,922 | $12.4M | 0.2% | −6,485−13.7% | Reduced | History |
| ADPAutomatic Data Processing Inc | Stock | 75,950 | $12.3M | 0.2% | +8,415+12.5% | Added | History |
| GISGeneral Mills Inc | Stock | 220,716 | $12.2M | 0.2% | −110,843−33.4% | Reduced | History |
| HPHelmerich & Payne, Inc. | COM | 302,498 | $12.1M | 0.2% | −22,773−7.0% | Reduced | History |
| BACBank of America Corp | Stock | 405,754 | $11.8M | 0.2% | +17,972+4.6% | Added | History |
| JRINuveen Real Asset Income & Growth Fund | COM | 671,177 | $11.8M | 0.2% | +830.0% | Added | History |
| LOWLowes Companies Inc | Stock | 105,709 | $11.6M | 0.2% | +7,131+7.2% | Added | History |
Sold out since Q2 2019 (57)
Positions held at the end of Q2 2019 that are gone from this filing.
| Security | Class | Shares in Q2 2019 | Value in Q2 2019 | % of portfolio in Q2 2019 | History |
|---|---|---|---|---|---|
| Red Hat Inc Com756577102 | Stock | 32,289 | $6.06M | 0.1% | – |
| Harriscorp413875105 | COM | 30,347 | $5.74M | 0.1% | – |
| Vantiv Inc981558109 | COMMON STOCK | 22,739 | $2.79M | <0.1% | – |
| L3 Technologies Inc Com502413107 | Stock | 9,321 | $2.29M | <0.1% | – |
| Ubiquiti Networks Inc Com90347A100 | Stock | 14,801 | $1.95M | <0.1% | – |
| CM Fin Inc Com12574Q103 | COM | 252,820 | $1.92M | <0.1% | – |
| BT Group PLC Sponsored ADS05577E101 | Stock | 111,885 | $1.43M | <0.1% | – |
| T C F Finl Corp163731102 | COM | 26,673 | $1.10M | <0.1% | – |
| Cosan Ltd.G25343107 | SHS A | 69,311 | $926.0K | <0.1% | – |
| Andeavor Logistics LP Com Unit LP Int03350F106 | Stock | 21,684 | $787.8K | <0.1% | – |
| Echo Global Logistics, Inc.27875T101 | COM | 28,618 | $597.3K | <0.1% | – |
| Voya Prime Rate Tr92913A100 | SH BEN INT | 116,602 | $555.0K | <0.1% | – |
| FCTFirst Trust Senior Floating Rate Income Fund II | COM | 45,236 | $545.1K | <0.1% | History |
| MMDNYLI MacKay DefinedTerm Muni Opportunities Fund | COM | 25,829 | $539.3K | <0.1% | History |
| ETXEaton Vance Municipal Income 2028 Term Trust | SHS | 25,352 | $521.5K | <0.1% | History |
| PBFPBF Energy Inc. | CL A | 15,506 | $485.3K | <0.1% | History |
| DBIDesigner Brands Inc. | CL A | 19,908 | $381.6K | <0.1% | History |
| UMPQUmpqua Holdings Corp | COM | 22,174 | $367.9K | <0.1% | History |
| RBARB Global Inc. | COM | 10,425 | $346.3K | <0.1% | History |
| SVCService Properties Trust | COMMON STOCK | 13,496 | $337.4K | <0.1% | History |
| NHSNeuberger High Yield Strategies Fund Inc. | COM | 24,644 | $288.3K | <0.1% | History |
| NSNuStar Energy L.P. | UNIT COM | 10,194 | $276.7K | <0.1% | History |
| BBDCBarings BDC, Inc. | COM | 27,251 | $268.1K | <0.1% | History |
| ANIKAnika Therapeutics, Inc. | COM | 5,924 | $240.6K | <0.1% | History |
| CLLSCellectis S.A. | SPON ADS | 12,393 | $193.3K | <0.1% | History |
| Chesapeake Energy Corp165167107 | COM | 80,449 | $156.9K | <0.1% | – |
| Tableau Software Inc CL A87336U105 | Stock | 751 | $124.7K | <0.1% | – |
| LFUSLittelfuse Inc | COM | 689 | $121.9K | <0.1% | History |
| FWONKLiberty Media Corp | COM SER C FRMLA | 2,751 | $102.9K | <0.1% | History |
| HOGHarley-Davidson, Inc. | COM | 2,570 | $92.1K | <0.1% | History |
| EXELExelixis, Inc. | COM | 3,875 | $82.8K | <0.1% | History |
| SIGSignet Jewelers Ltd | SHS | 4,323 | $77.3K | <0.1% | History |
| DECKDeckers Outdoor Corp | COM | 369 | $64.9K | <0.1% | History |
| Flexshares Tr33939L605 | IBOXX 5YR TRGT | 2,182 | $55.7K | <0.1% | – |
| Invesco BulletShares 2021 HY Corp (BSJL)46138J809 | Exchange Traded Fund | 2,181 | $53.9K | <0.1% | – |
| GTGoodyear Tire & Rubber Co | COM | 3,088 | $47.2K | <0.1% | History |
| Liberty Ppty Tr SH Ben Int531172104 | REIT | 907 | $45.4K | <0.1% | – |
| State Street SPDR Bloomberg Emerging Markets Local Bond ETF78464A391 | ETF | 1,547 | $43.0K | <0.1% | – |
| VanEck ETF Trust92189H300 | JP MRGAN EM LOC | 1,200 | $41.6K | <0.1% | – |
| WHWyndham Hotels & Resorts, Inc. | COM | 734 | $40.9K | <0.1% | History |
| ALKSAlkermes plc. | SHS | 1,794 | $40.4K | <0.1% | History |
| SKYWSkywest Inc | COM | 659 | $40.0K | <0.1% | History |
| SFStifel Financial Corp | COM | 639 | $37.7K | <0.1% | History |
| XHRXenia Hotels & Resorts, Inc. | COM | 1,629 | $34.0K | <0.1% | History |
| Keane Group Inc Com48669A108 | Stock | 4,983 | $33.5K | <0.1% | – |
| Diamond S Shipping Inc.Y20676105 | COM | 2,747 | $27.6K | <0.1% | – |
| AAWWAtlas Air Worldwide Holdings Inc | COM NEW | 554 | $24.7K | <0.1% | History |
| PUKPrudential PLC | ADR | 495 | $21.7K | <0.1% | History |
| El Paso Elec Co Com New283677854 | Stock | 257 | $16.8K | <0.1% | – |
| Cushing Renaissance FD RT231647124 | RIGHT 07/18/2019 | 63,476 | $13.3K | <0.1% | – |
| Abraxas Pete Corp Com003830106 | Stock | 12,365 | $12.7K | <0.1% | – |
| CVCOCavco Industries, Inc. | COM | 62 | $9.77K | <0.1% | History |
| UNFIUnited Natural Foods Inc | COM | 825 | $7.40K | <0.1% | History |
| Apergy Corp Com03755L104 | Com | 213 | $7.14K | <0.1% | – |
| CENXCentury Aluminum Co | COM | 688 | $4.75K | <0.1% | History |
| LEN.BLennar Corp | CL B | 58 | $2.23K | <0.1% | History |
| Invesco Adv Muni Inc Trust II46132E107 | Equities | 142,785 | $0 | 0.0% | – |