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Livermore
Livermore
ZHEN

Advisors Asset Management, Inc.

SEC CIK
0001297376
Latest filing
Aug 13, 2026

Holdings in Q4 2019

Holdings as of Dec 31, 2019, filed Aug 25, 2026. Long positions only; changes compare share counts with Q3 2019.

Institution overview
Positions
1,559
−14 vs. Q3 2019
Portfolio value
$5.70B
+$273.8M (+5.0%) vs. Q3 2019
Filed
Aug 25, 2026
AmendedSECSEC
Holdings of Advisors Asset Management, Inc. in Q4 2019
SecurityClassSharesValue% of portfolioShare changeActionHistory
MSFTMicrosoft CorpStock1,056,256$166.6M2.9%+19,880+1.9%AddedHistory
AMZNAmazon Com IncStock69,234$127.9M2.2%+1,271+1.9%AddedHistory
AAPLApple Inc.Stock432,694$127.1M2.2%−6,891−1.6%ReducedHistory
GOOGLAlphabet Inc.Stock78,587$105.3M1.8%+1,709+2.2%AddedHistory
METAMeta Platforms, Inc.Stock465,374$95.5M1.7%+20,667+4.6%AddedHistory
VVisa Inc.Stock460,888$86.6M1.5%+6,240+1.4%AddedHistory
MAMastercard IncStock221,898$66.3M1.2%−1,247−0.6%ReducedHistory
JPMJPMorgan Chase & CoStock447,821$62.4M1.1%+15,114+3.5%AddedHistory
VZVerizon Communications IncStock947,377$58.2M1.0%−44,410−4.5%ReducedHistory
CMCSAComcast CorpStock1,146,623$51.6M0.9%+47,260+4.3%AddedHistory
TAT&T Inc.Stock1,240,736$48.5M0.9%−32,151−2.5%ReducedHistory
HDHome Depot, Inc.Stock216,295$47.2M0.8%−1,703−0.8%ReducedHistory
CVXChevron CorpStock382,465$46.1M0.8%+12,223+3.3%AddedHistory
IBMInternational Business Machines CorpStock329,654$44.2M0.8%+6,969+2.2%AddedHistory
PFEPfizer IncStock1,055,195$41.3M0.7%+5,625+0.5%AddedHistory
LMTLockheed Martin CorpStock102,983$40.1M0.7%+6,843+7.1%AddedHistory
NEENextera Energy IncStock163,938$39.7M0.7%+10,390+6.8%AddedHistory
CCICrown Castle Inc.REIT278,761$39.6M0.7%+310.0%AddedHistory
AMTAmerican Tower CorpREIT172,214$39.6M0.7%−5,311−3.0%ReducedHistory
PYPLPayPal Holdings, Inc.Stock362,854$39.2M0.7%+34,246+10.4%AddedHistory
KOCoca Cola CoStock694,697$38.5M0.7%+31,024+4.7%AddedHistory
CSCOCisco Systems, Inc.Stock744,181$35.7M0.6%+21,231+2.9%AddedHistory
MDTMedtronic plcStock311,535$35.3M0.6%+12,618+4.2%AddedHistory
TXNTexas Instruments IncStock269,008$34.5M0.6%+12,688+5.0%AddedHistory
JNJJohnson & JohnsonStock228,587$33.3M0.6%−13,147−5.4%ReducedHistory
PGProcter & Gamble CoStock246,877$30.8M0.5%−12,111−4.7%ReducedHistory
INTCIntel CorpStock486,163$29.1M0.5%−27,113−5.3%ReducedHistory
CHTRCharter Communications, Inc.CL A59,611$28.9M0.5%+664+1.1%AddedHistory
XOMExxonMobil Holdings CorpCOM398,480$27.8M0.5%+23,208+6.2%AddedHistory
HONHoneywell International IncCOM153,842$27.2M0.5%+7,354+5.0%AddedHistory
MCDMcDonalds CorpStock134,830$26.6M0.5%+6,404+5.0%AddedHistory
TFCTruist Financial CorpCOM462,697$26.1M0.5%+462,697NewHistory
AXPAmerican Express CoStock207,172$25.8M0.5%+4,359+2.1%AddedHistory
Aircastle Ltd ComG0129K104Stock777,422$24.9M0.4%−135,106−14.8%Reduced–
SOSouthern CoStock380,307$24.2M0.4%−88,438−18.9%ReducedHistory
MRSHMarsh & McLennan Companies, Inc.Stock214,704$23.9M0.4%+14,271+7.1%AddedHistory
PPLPPL CorpCOM666,048$23.9M0.4%−24,893−3.6%ReducedHistory
ADBEAdobe Inc.Stock72,024$23.8M0.4%−2,527−3.4%ReducedHistory
ABBVAbbVie Inc.Stock264,259$23.4M0.4%−34,076−11.4%ReducedHistory
TMOThermo Fisher Scientific Inc.Stock69,433$22.6M0.4%−4,753−6.4%ReducedHistory
ACNAccenture plcStock105,674$22.3M0.4%−2,646−2.4%ReducedHistory
DDominion Energy, IncStock268,355$22.2M0.4%−26,974−9.1%ReducedHistory
WUWestern Union COStock828,464$22.2M0.4%−172,619−17.2%ReducedHistory
SBUXStarbucks CorpStock248,775$21.9M0.4%+3,886+1.6%AddedHistory
UPSUnited Parcel Service IncStock185,231$21.7M0.4%+1,914+1.0%AddedHistory
EBAYeBay IncCOM600,147$21.7M0.4%+34,692+6.1%AddedHistory
CVSCVS Health CorpStock288,030$21.4M0.4%+21,256+8.0%AddedHistory
WDCWestern Digital CorpCOM336,601$21.4M0.4%−18,371−5.2%ReducedHistory
MOAltria Group, Inc.Stock425,849$21.3M0.4%−27,554−6.1%ReducedHistory
MRKMerck & Co., Inc.Stock233,579$21.2M0.4%−46,288−16.5%ReducedHistory
NIEVirtus Equity & Convertible Income FundCOM929,259$21.1M0.4%−115,706−11.1%ReducedHistory
VGRVector Group LtdCOM1,551,774$20.8M0.4%−104,702−6.3%ReducedHistory
ABTAbbott LaboratoriesStock237,306$20.6M0.4%+16,324+7.4%AddedHistory
BLKBlackRock, Inc.COM40,341$20.3M0.4%−4,820−10.7%ReducedHistory
CMPCompass Minerals International IncStock326,336$19.9M0.3%−15,935−4.7%ReducedHistory
PMPhilip Morris International Inc.Stock227,797$19.4M0.3%−21,917−8.8%ReducedHistory
COSTCostco Wholesale CorpStock65,517$19.3M0.3%−6,273−8.7%ReducedHistory
QCOMQualcomm IncStock216,583$19.1M0.3%−21,010−8.8%ReducedHistory
Pattern Energy Group Inc CL A70338P100Stock712,189$19.1M0.3%−173,808−19.6%Reduced–
PAYXPaychex IncStock223,104$19.0M0.3%+11,281+5.3%AddedHistory
CAHCardinal Health IncStock373,007$18.9M0.3%−39,774−9.6%ReducedHistory
Two Harbors Investment Corp.90187B408COM NEW1,281,918$18.7M0.3%+44,419+3.6%Added–
GEF.BGreif, IncCL B361,802$18.7M0.3%−19,087−5.0%ReducedHistory
PEPPepsiCo IncStock136,909$18.7M0.3%+7,339+5.7%AddedHistory
Clearway Energy, Inc.18539C105CL A963,303$18.4M0.3%+138,773+16.8%Added–
AVKAdvent Convertible & Income FundCOM1,178,851$18.3M0.3%−39,736−3.3%ReducedHistory
FFord Motor CoStock1,940,094$18.0M0.3%−140,562−6.8%ReducedHistory
First Tr Energy Infrastrctr33738C103COM1,064,699$17.9M0.3%+141,273+15.3%Added–
UNHUnitedHealth Group IncStock60,633$17.8M0.3%−5,991−9.0%ReducedHistory
Macquarie Infrastructure Cor55608B105COM409,680$17.6M0.3%−28,352−6.5%Reduced–
LUMNLumen Technologies, Inc.COM1,310,302$17.3M0.3%−25,415−1.9%ReducedHistory
PCARPaccar IncCOM212,480$16.8M0.3%+17,061+8.7%AddedHistory
MMM3M CoStock94,712$16.7M0.3%+15,246+19.2%AddedHistory
CVICVR Energy IncCOM412,090$16.7M0.3%−59,097−12.5%ReducedHistory
PDCOPatterson Companies, Inc.COM806,453$16.5M0.3%−32,116−3.8%ReducedHistory
GILDGilead Sciences, Inc.Stock253,735$16.5M0.3%+29,197+13.0%AddedHistory
OTISOtis Worldwide CorpCOM109,971$16.5M0.3%−5,851−5.1%ReducedHistory
NFJVirtus Dividend, Interest & Premium Strategy FundCOM1,259,689$16.4M0.3%+74,789+6.3%AddedHistory
FDXFedEx CorpStock107,291$16.2M0.3%−5,333−4.7%ReducedHistory
AMGNAmgen IncStock66,337$16.0M0.3%+292+0.4%AddedHistory
OKEONEOK IncCOM208,338$15.8M0.3%−62,805−23.2%ReducedHistory
KROKronos Worldwide IncCOM1,174,499$15.7M0.3%−12,876−1.1%ReducedHistory
APDAir Products & Chemicals, Inc.Stock64,308$15.1M0.3%+357+0.6%AddedHistory
CVACovanta Holding CorpCOM1,013,559$15.0M0.3%−97,318−8.8%ReducedHistory
CCOICogent Communications Holdings, Inc.COM NEW225,775$14.9M0.3%−72,000−24.2%ReducedHistory
BACBank of America CorpStock409,940$14.4M0.3%+4,186+1.0%AddedHistory
DOWDow Inc.Stock263,666$14.4M0.3%+58,928+28.8%AddedHistory
AVGOBroadcom Inc.Stock45,598$14.4M0.3%+9,886+27.7%AddedHistory
ADPAutomatic Data Processing IncStock84,207$14.4M0.3%+8,257+10.9%AddedHistory
JRINuveen Real Asset Income & Growth FundCOM778,448$14.3M0.3%+107,271+16.0%AddedHistory
KHCKraft Heinz CoStock433,438$13.9M0.2%−24,995−5.5%ReducedHistory
BGSB&G Foods, Inc.COM767,994$13.8M0.2%−3,313−0.4%ReducedHistory
DISWalt Disney CoStock93,637$13.5M0.2%+13,495+16.8%AddedHistory
HPHelmerich & Payne, Inc.COM297,735$13.5M0.2%−4,763−1.6%ReducedHistory
ECFEllsworth Growth & Income Fund LtdCOM1,117,995$13.1M0.2%+127,028+12.8%AddedHistory
WBAWalgreens Boots Alliance, Inc.COM220,577$13.0M0.2%+61,072+38.3%AddedHistory
RVTRoyce Small-Cap Trust, Inc.COM880,228$13.0M0.2%−32,696−3.6%ReducedHistory
MXIMMaxim Integrated Products IncCOM211,158$13.0M0.2%+35,651+20.3%AddedHistory
AROCArchrock, Inc.COM1,282,707$12.9M0.2%+145,456+12.8%AddedHistory
NLYAnnaly Capital Management IncCOM1,358,668$12.8M0.2%−270,016−16.6%ReducedHistory

Sold out since Q3 2019 (87)

Positions held at the end of Q3 2019 that are gone from this filing.

Positions of Advisors Asset Management, Inc. sold out since Q3 2019
SecurityClassShares in Q3 2019Value in Q3 2019% of portfolio in Q3 2019History
BBT Corp Com054937107COM255,674$13.6M0.3%–
Semgroup Corp CL A81663A105Stock764,954$12.5M0.2%–
Suntrust BKS Inc Com867914103Stock150,548$10.4M0.2%–
Gannett Co Inc Com36473H104Stock885,551$9.51M0.2%–
ZTRVirtus Total Return Fund Inc.COM668,227$7.52M0.1%History
Xerox Corp Com New984121608Stock211,694$6.33M0.1%–
Colony Cap Inc New19626G108CL A COM592,082$3.56M0.1%–
BSTBlackRock Science & Technology TrustSHS63,042$2.02M<0.1%History
Buckeye Partners L P Unit Ltd Partn118230101Stock43,669$1.79M<0.1%–
Genomic Health Inc Com37244C101Stock20,819$1.41M<0.1%–
Genesee Wyo Inc CL A371559105Stock7,800$862.0K<0.1%–
Hess Midstream Partners LP428104103UNIT LTD PR INT38,528$742.0K<0.1%–
Celgene Corp Com151020104Stock6,310$626.6K<0.1%–
Monotype Imaging Holdings in Com61022P100Stock28,964$573.8K<0.1%–
USACUSA Compression Partners, LPCOMUNIT LTDPAR30,000$518.1K<0.1%History
Barrick Gold Corp067901108COM27,230$471.9K<0.1%–
SFLSFL Corp Ltd.COM27,088$380.3K<0.1%History
RCIRogers Communications IncCL B7,472$364.1K<0.1%History
WSMWilliams Sonoma IncCOM4,943$336.0K<0.1%History
BCEBce IncCOM NEW6,878$333.0K<0.1%History
Pioneer High Income Tr72369H106COM35,053$323.2K<0.1%–
CHTChunghwa Telecom Co LtdSPON ADR NEW118,897$317.5K<0.1%History
CQPCheniere Energy Partners, L.P.COM UNIT6,627$301.4K<0.1%History
Viacom Inc New CL B92553P201Stock11,771$282.9K<0.1%–
JOYY, Inc. ADR98426T106American Dep Receipt4,979$280.0K<0.1%–
Healthpeak Properties Inc Com40414L109Stock7,116$253.5K<0.1%–
Guangshen Railway ADR40065W107COM14,759$233.3K<0.1%–
CERNCERNER CorpCOM3,336$227.4K<0.1%History
DEIDouglas Emmett IncCOM4,715$201.9K<0.1%History
New Media Invt Group Inc Com64704V106Stock22,266$196.2K<0.1%–
CSTMConstellium SECL A14,262$181.3K<0.1%History
FNVFranco Nevada CorpStock1,694$154.4K<0.1%History
Ctrip Com Intl Ltd Sponsored ADS22943F100Stock4,659$136.5K<0.1%–
Weight Watchers Intl Inc New Com948626106Stock3,308$125.1K<0.1%–
TOLToll Brothers, Inc.COM2,911$119.5K<0.1%History
Nanometrics Inc Com630077105Stock3,625$118.2K<0.1%–
MTHMeritage Homes CORPCOM1,643$115.6K<0.1%History
CXPColumbia Property Trust, Inc.COM NEW5,224$110.5K<0.1%History
CNACna Financial CorpCOM2,243$110.5K<0.1%History
NLSNNielsen Holdings plcSHS EUR4,964$105.5K<0.1%History
CSXCSX CorpStock1,473$102.0K<0.1%History
Norbord Inc Com New65548P403Stock4,093$98.0K<0.1%–
CNSLConsolidated Communications Holdings, Inc.COM20,094$95.6K<0.1%History
PBCTPeople's United Financial, Inc.COM5,825$91.1K<0.1%History
GGGGraco IncCOM1,946$89.6K<0.1%History
NPKINPK International Inc.COM SHS11,503$87.7K<0.1%History
WGOWinnebago Industries IncCOM2,066$79.2K<0.1%History
CRICarters IncCOM763$69.6K<0.1%History
MIDDMIDDLEBY CorpCOM589$68.9K<0.1%History
Schwab US Aggregate Bond ETF808524839ETF1,232$66.3K<0.1%–
AOSSmith A O CorpCOM1,358$64.8K<0.1%History
Invesco Exchange Traded FD T46137V621FINL PFD ETF3,422$64.3K<0.1%–
Invesco Exch TRD SLF Idx FD46138J502BULSHS 2028 CB2,990$63.7K<0.1%–
CBLCBL & Associates Properties IncCommon Stock47,637$61.5K<0.1%History
DDSDillard's, Inc.CL A900$59.5K<0.1%History
TRMKTrustmark CorpCOM1,591$54.3K<0.1%History
iShares Tr464288281JPMORGAN USD EMG477$54.1K<0.1%–
CLDRCloudera, Inc.COM5,899$52.3K<0.1%History
FHBFirst Hawaiian, Inc.COM1,880$50.2K<0.1%History
INGRIngredion IncCOM591$48.3K<0.1%History
PLCEChildrens Place, Inc.COM620$47.7K<0.1%History
ZZillow Group, Inc.CL C CAP STK1,379$41.1K<0.1%History
LDOSLeidos Holdings, Inc.COM439$37.7K<0.1%History
LCILannett Co IncCOM3,266$36.6K<0.1%History
ICHRIchor Holdings, Ltd.SHS1,484$35.9K<0.1%History
WIREEncore Wire CorpCOM625$35.2K<0.1%History
Carbonite Inc Com141337105Stock2,269$35.1K<0.1%–
Wyndham Destinations Inc98310W108COM731$33.6K<0.1%–
Medidata Solutions Inc Com58471A105Stock353$32.3K<0.1%–
CAI International, Inc.12477X106COM1,310$28.5K<0.1%–
WSFSWSFS Financial CorpCOM625$27.6K<0.1%History
ILPTIndustrial Logistics Properties TrustCOM SHS BEN INT1,236$26.3K<0.1%History
RDUSRadius Recycling, Inc.CL A1,240$25.6K<0.1%History
TREXTrex Co IncCOM272$24.7K<0.1%History
PINCPremier, Inc.CL A815$23.6K<0.1%History
Symantec Corp Com871503108Stock990$23.4K<0.1%–
AREAlexandria Real Estate Equities, Inc.COM148$22.8K<0.1%History
PATKPatrick Industries IncCOM509$21.8K<0.1%History
SRC Energy Inc Com78470V108Stock3,355$15.6K<0.1%–
KMPRKEMPER CorpCOM181$14.1K<0.1%History
CBS Corp New CL B124857202COM339$13.7K<0.1%–
SHOOSteven Madden, Ltd.COM373$13.3K<0.1%History
BCCBoise Cascade CoCOM312$10.2K<0.1%History
BHFBrighthouse Financial, Inc.COM97$3.93K<0.1%History
Cohen & Steers Global Inc BLDR19248M103COM411$3.74K<0.1%–
US Ecology Inc Com91732J102Stock22$1.41K<0.1%–
Frontier Communications Corp35906A306Common Stock21$18<0.1%–