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Livermore
Livermore
ZHEN

Advisors Asset Management, Inc.

SEC CIK
0001297376
Latest filing
Aug 13, 2026

Holdings in Q3 2020

Holdings as of Sep 30, 2020, filed Aug 25, 2026. Long positions only; changes compare share counts with Q2 2020.

Institution overview
Positions
1,520
−45 vs. Q2 2020
Portfolio value
$5.41B
+$271.3M (+5.3%) vs. Q2 2020
Filed
Aug 25, 2026
AmendedSEC
Holdings of Advisors Asset Management, Inc. in Q3 2020
SecurityClassSharesValue% of portfolioShare changeActionHistory
AMZNAmazon Com IncStock81,907$257.9M4.8%+1,586+2.0%AddedHistory
MSFTMicrosoft CorpStock1,064,531$223.9M4.1%−20,652−1.9%ReducedHistory
AAPLApple Inc.Stock1,792,316$207.6M3.8%+1,339,908+296.2%AddedHistory
METAMeta Platforms, Inc.Stock581,809$152.4M2.8%+28,097+5.1%AddedHistory
GOOGLAlphabet Inc.Stock93,407$136.9M2.5%+4,065+4.5%AddedHistory
VVisa Inc.Stock554,454$110.9M2.1%+29,142+5.5%AddedHistory
MAMastercard IncStock279,581$94.5M1.7%+19,139+7.3%AddedHistory
PYPLPayPal Holdings, Inc.Stock460,032$90.6M1.7%+7,650+1.7%AddedHistory
CMCSAComcast CorpStock1,362,148$63.0M1.2%+55,229+4.2%AddedHistory
VZVerizon Communications IncStock1,020,361$60.7M1.1%−16,040−1.5%ReducedHistory
HDHome Depot, Inc.Stock201,380$55.9M1.0%−11,089−5.2%ReducedHistory
CCICrown Castle Inc.REIT310,735$51.7M1.0%+9,149+3.0%AddedHistory
NEENextera Energy IncStock165,099$45.8M0.8%−409−0.2%ReducedHistory
AMTAmerican Tower CorpREIT179,496$43.4M0.8%+2,151+1.2%AddedHistory
CHTRCharter Communications, Inc.CL A67,319$42.0M0.8%+2,135+3.3%AddedHistory
PFEPfizer IncStock1,106,905$40.6M0.8%−61,668−5.3%ReducedHistory
IBMInternational Business Machines CorpStock321,385$39.1M0.7%−955−0.3%ReducedHistory
JNJJohnson & JohnsonStock256,860$38.2M0.7%+10,915+4.4%AddedHistory
JPMJPMorgan Chase & CoStock396,822$38.2M0.7%+20,715+5.5%AddedHistory
UPSUnited Parcel Service IncStock217,211$36.2M0.7%+5,369+2.5%AddedHistory
TXNTexas Instruments IncStock250,508$35.8M0.7%−13,065−5.0%ReducedHistory
LMTLockheed Martin CorpStock92,764$35.6M0.7%−7,422−7.4%ReducedHistory
TAT&T Inc.Stock1,245,841$35.5M0.7%+1,766+0.1%AddedHistory
FDXFedEx CorpStock139,691$35.1M0.6%+13,055+10.3%AddedHistory
CSCOCisco Systems, Inc.Stock827,970$32.6M0.6%+50,058+6.4%AddedHistory
ADBEAdobe Inc.Stock64,097$31.4M0.6%−4,350−6.4%ReducedHistory
MDTMedtronic plcStock294,503$30.6M0.6%−18,360−5.9%ReducedHistory
TMOThermo Fisher Scientific Inc.Stock67,052$29.6M0.5%−232−0.3%ReducedHistory
MCDMcDonalds CorpStock130,502$28.6M0.5%−7,763−5.6%ReducedHistory
CVXChevron CorpStock396,224$28.5M0.5%+1,270+0.3%AddedHistory
AXPAmerican Express CoStock275,112$27.6M0.5%+28,902+11.7%AddedHistory
PGProcter & Gamble CoStock193,548$26.9M0.5%+4,163+2.2%AddedHistory
KOCoca Cola CoStock520,950$25.7M0.5%−40,396−7.2%ReducedHistory
DOWDow Inc.Stock535,583$25.2M0.5%+39,754+8.0%AddedHistory
ABTAbbott LaboratoriesStock223,371$24.3M0.4%−8,516−3.7%ReducedHistory
EBAYeBay IncCOM437,159$22.8M0.4%−105,152−19.4%ReducedHistory
SBUXStarbucks CorpStock263,936$22.7M0.4%−3,833−1.4%ReducedHistory
AVGOBroadcom Inc.Stock61,811$22.5M0.4%+4,313+7.5%AddedHistory
MRSHMarsh & McLennan Companies, Inc.Stock189,946$21.8M0.4%−11,750−5.8%ReducedHistory
COSTCostco Wholesale CorpStock60,845$21.6M0.4%−5,638−8.5%ReducedHistory
MMM3M CoStock134,203$21.5M0.4%−5,369−3.8%ReducedHistory
HONHoneywell International IncCOM130,465$21.5M0.4%−12,204−8.6%ReducedHistory
ACNAccenture plcStock91,120$20.6M0.4%−6,137−6.3%ReducedHistory
BLKBlackRock, Inc.COM36,430$20.5M0.4%−1,540−4.1%ReducedHistory
NIEVirtus Equity & Convertible Income FundCOM809,123$19.6M0.4%−79,952−9.0%ReducedHistory
ABBVAbbVie Inc.Stock217,981$19.1M0.4%−5,194−2.3%ReducedHistory
UNHUnitedHealth Group IncStock60,732$18.9M0.4%+259+0.4%AddedHistory
BGSB&G Foods, Inc.COM654,045$18.2M0.3%−64,551−9.0%ReducedHistory
PEPPepsiCo IncStock130,669$18.1M0.3%−6,904−5.0%ReducedHistory
INTCIntel CorpStock341,049$17.7M0.3%−34,561−9.2%ReducedHistory
NFJVirtus Dividend, Interest & Premium Strategy FundCOM1,437,056$17.0M0.3%−1,374−0.1%ReducedHistory
CATCaterpillar IncStock112,283$16.7M0.3%−28,213−20.1%ReducedHistory
PAYXPaychex IncStock207,334$16.5M0.3%−7,950−3.7%ReducedHistory
APDAir Products & Chemicals, Inc.Stock54,656$16.3M0.3%−4,448−7.5%ReducedHistory
NVDANVIDIA CorpStock29,809$16.1M0.3%+2,034+7.3%AddedHistory
LOWLowes Companies IncStock95,132$15.8M0.3%−14,953−13.6%ReducedHistory
PPLPPL CorpCOM570,198$15.5M0.3%−44,320−7.2%ReducedHistory
MRKMerck & Co., Inc.Stock185,438$15.4M0.3%+37,383+25.2%AddedHistory
DHRDanaher CorpStock71,212$15.3M0.3%−3,420−4.6%ReducedHistory
XOMExxonMobil Holdings CorpCOM428,540$14.7M0.3%+1,097+0.3%AddedHistory
MDLZMondelez International, Inc.Stock254,055$14.6M0.3%+20,954+9.0%AddedHistory
PDCOPatterson Companies, Inc.COM589,257$14.2M0.3%−79,710−11.9%ReducedHistory
TFCTruist Financial CorpCOM371,261$14.1M0.3%−45,049−10.8%ReducedHistory
ADPAutomatic Data Processing IncStock100,583$14.0M0.3%+1,810+1.8%AddedHistory
SPGIS&P Global Inc.Stock38,834$14.0M0.3%−3,790−8.9%ReducedHistory
CCChemours CoStock662,106$13.8M0.3%+23,107+3.6%AddedHistory
WBAWalgreens Boots Alliance, Inc.COM382,631$13.7M0.3%−5,743−1.5%ReducedHistory
LLYEli Lilly & CoStock92,476$13.7M0.3%−813−0.9%ReducedHistory
DDominion Energy, IncStock172,820$13.6M0.3%−40,892−19.1%ReducedHistory
BABAAlibaba Group Holding LtdADR46,381$13.6M0.3%−408−0.9%ReducedHistory
CVSCVS Health CorpStock229,664$13.4M0.2%−31,470−12.1%ReducedHistory
MOAltria Group, Inc.Stock336,521$13.0M0.2%−30,851−8.4%ReducedHistory
DISWalt Disney CoStock104,695$13.0M0.2%−9,845−8.6%ReducedHistory
KROKronos Worldwide IncCOM1,002,041$12.9M0.2%−74,959−7.0%ReducedHistory
AMGNAmgen IncStock50,222$12.8M0.2%−4,921−8.9%ReducedHistory
CHICalamos Convertible Opportunities & Income FundSH BEN INT1,154,626$12.7M0.2%+86,307+8.1%AddedHistory
BACBank of America CorpStock527,004$12.7M0.2%+33,053+6.7%AddedHistory
NVSNovartis AGADR145,285$12.6M0.2%+6,464+4.7%AddedHistory
REGNRegeneron Pharmaceuticals, Inc.COM22,256$12.5M0.2%−1,113−4.8%ReducedHistory
TSLATesla, Inc.Stock28,863$12.4M0.2%+24,429+550.9%AddedHistory
ADSKAutodesk, Inc.COM53,330$12.3M0.2%−689−1.3%ReducedHistory
CMPCompass Minerals International IncStock204,241$12.1M0.2%−38,308−15.8%ReducedHistory
PMPhilip Morris International Inc.Stock160,734$12.1M0.2%−16,017−9.1%ReducedHistory
BCVBancroft Fund LtdCOM483,567$12.0M0.2%−40,095−7.7%ReducedHistory
ITWIllinois Tool Works IncStock61,677$11.9M0.2%−4,245−6.4%ReducedHistory
BBWIBath & Body Works, Inc.COM369,657$11.8M0.2%−127,810−25.7%ReducedHistory
ROKRockwell Automation, IncStock53,064$11.7M0.2%−2,764−5.0%ReducedHistory
GILDGilead Sciences, Inc.Stock184,024$11.6M0.2%−18,903−9.3%ReducedHistory
IPGInterpublic Group of Companies, Inc.COM696,769$11.6M0.2%+106,337+18.0%AddedHistory
ECFEllsworth Growth & Income Fund LtdCOM1,004,770$11.6M0.2%−162,210−13.9%ReducedHistory
UNPUnion Pacific CorpStock58,132$11.4M0.2%+1,941+3.5%AddedHistory
CAHCardinal Health IncStock242,817$11.4M0.2%−40,970−14.4%ReducedHistory
MXIMMaxim Integrated Products IncCOM167,585$11.3M0.2%−38,849−18.8%ReducedHistory
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM1,528,069$11.2M0.2%+31,153+2.1%AddedHistory
JJacobs Solutions Inc.COM120,037$11.1M0.2%+31,971+36.3%AddedHistory
AMAntero Midstream CorpStock2,029,729$10.9M0.2%+229,252+12.7%AddedHistory
TJXTJX Companies IncStock195,506$10.9M0.2%−3,885−1.9%ReducedHistory
JCENuveen Core Equity Alpha FundCOM823,964$10.5M0.2%+36,733+4.7%AddedHistory
GEF.BGreif, IncCL B266,206$10.5M0.2%−38,531−12.6%ReducedHistory
PANWPalo Alto Networks IncStock42,937$10.5M0.2%+1,283+3.1%AddedHistory

Sold out since Q2 2020 (108)

Positions held at the end of Q2 2020 that are gone from this filing.

The largest 100 of 108 by value last quarter.

Positions of Advisors Asset Management, Inc. sold out since Q2 2020
SecurityClassShares in Q2 2020Value in Q2 2020% of portfolio in Q2 2020History
Clearbridge184692101EXCHANGE TRADED582,856$1.86M<0.1%–
Clearbridge Energy MLP Total18469Q108EXCHANGE TRADED603,414$1.64M<0.1%–
IAC/Interactive Corp44919P508COM4,118$1.33M<0.1%–
CNX Midstream Partners LP12654A101COM UNIT REPST186,625$1.24M<0.1%–
STKColumbia Seligman Premium Technology Growth Fund, Inc.COM41,896$921.3K<0.1%History
Clearbridge Energy MLP Opportu18469P100EQ FDS386,309$911.7K<0.1%–
Terraform PWR Inc Com CL A88104R209Stock33,392$615.7K<0.1%–
RAREUltragenyx Pharmaceutical Inc.COM7,376$577.0K<0.1%History
Capitala Fin Co14054R106Com211,575$556.4K<0.1%–
NUVANuvasive IncCOM9,053$503.9K<0.1%History
MTCHMatch Group, Inc.COM4,274$457.5K<0.1%History
BLEBlackRock Municipal Income Trust IICOM29,809$438.5K<0.1%History
MUEBlackRock Muniholdings Quality Fund II, Inc.COM33,270$412.2K<0.1%History
Fiduciary Claymore Engry Inf31647Q106COM211,777$391.8K<0.1%–
ICUIIcu Medical IncCOM2,021$372.5K<0.1%History
OMEROmeros CorpCOM21,335$314.1K<0.1%History
BCBrunswick CorpCOM3,873$247.9K<0.1%History
Garrison Cap Inc366554103COM64,862$219.2K<0.1%–
THL Credit Inc872438106COM63,457$205.6K<0.1%–
Flagstar Bank, National Association649445103COM20,108$205.1K<0.1%–
LGILazard Global Total Return & Income Fund IncCOM13,558$191.0K<0.1%History
WPCW. P. Carey Inc.COM2,206$149.2K<0.1%History
OMABCentral North Airport GroupSPON ADR3,861$143.4K<0.1%History
MIXTMiX Telematics LtdSPONSORED ADR12,464$107.6K<0.1%History
OGSONE Gas, Inc.COM1,370$105.6K<0.1%History
Medley Cap Corp58503F106Common Stock137,833$105.4K<0.1%–
BCPCBalchem CorpCOM894$84.8K<0.1%History
TXRHTexas Roadhouse, Inc.COM1,429$75.1K<0.1%History
AIGAmerican International Group, Inc.Stock2,333$72.7K<0.1%History
PIPRPiper Sandler CompaniesCOM1,204$71.2K<0.1%History
INGNInogen IncCOM1,975$70.2K<0.1%History
ZIONZions Bancorporation, National AssociationCOM1,773$60.3K<0.1%History
Alps ETF Tr00162Q783STRATEGIC INCOME2,347$57.7K<0.1%–
PINSPinterest, Inc.CL A2,583$57.3K<0.1%History
WBDWarner Bros. Discovery, Inc.COM SER A2,675$56.4K<0.1%History
Sina Corp/ChinaG81477104OPTION1,492$53.6K<0.1%–
SPDR Series Trust78468R408ST TERM HIGH ETF2,119$53.4K<0.1%–
51JOB Inc316827104SPONSORED ADS735$52.8K<0.1%–
SXIStandex International CorpCOM894$51.5K<0.1%History
iShares Tr464288117INTL TREA BD ETF1,008$51.3K<0.1%–
Grubhub Inc400110102COM728$51.2K<0.1%–
MTXMinerals Technologies IncCOM903$42.4K<0.1%History
LOBLive Oak Bancshares, Inc.COM2,912$42.3K<0.1%History
SUZSuzano S.A.SPON ADS5,829$39.4K<0.1%History
ACAArcosa, Inc.COM877$37.0K<0.1%History
CORCencora, Inc.Stock285$28.7K<0.1%History
QVCGAOld QVC Group, Inc.COM SER A2,826$26.8K<0.1%History
ONTOOnto Innovation Inc.COM650$22.1K<0.1%History
TSTenaris SASPONSORED ADS1,643$21.2K<0.1%History
TKRTimken CoCOM436$19.8K<0.1%History
SEISolaris Energy Infrastructure, Inc.COM CL A2,462$18.3K<0.1%History
LZBLa-Z-Boy IncCOM649$17.6K<0.1%History
AUBAtlantic Union Bankshares CorpCOM604$14.0K<0.1%History
PPBIPacific Premier Bancorp IncCOM628$13.6K<0.1%History
AORTArtivion, Inc.COM693$13.3K<0.1%History
FWRDForward Air CorpCOM258$12.9K<0.1%History
DORMDorman Products, Inc.COM187$12.5K<0.1%History
KFYKorn FerryCOM NEW408$12.5K<0.1%History
NSPInsperity, Inc.COM182$11.8K<0.1%History
DINDine Brands Global, Inc.COM253$10.7K<0.1%History
PVHPVH Corp.COM182$8.74K<0.1%History
Banco Santander Mexico SA05969B103SPONSORED ADS B2,358$8.51K<0.1%–
Northern Oil and Gas Inc MN Com665531109Stock9,592$8.05K<0.1%–
LABStandard Biotools Inc.COM1,817$7.29K<0.1%History
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT52$5.29K<0.1%–
Invesco Exch Traded FD Tr II46138G805TAXABLE MUN BD137$4.51K<0.1%–
PIMCO ETF Tr72201R817INV GRD CRP BD39$4.46K<0.1%–
BTUPeabody Energy CorpCOM1,539$4.43K<0.1%History
iShares Tr46434V4070-5YR HI YL CP85$3.65K<0.1%–
VanEck ETF Trust92189F411BDC INCOME ETF297$3.61K<0.1%–
ETRACS Wells Fargo Busine902641588ETRAC WELLS BDCI229$3.16K<0.1%–
VanEck ETF Trust92189F452MORTGAGE REIT231$3.11K<0.1%–
Alps ETF Tr00162Q452ALERIAN MLP119$2.94K<0.1%–
Global X FDS37954Y483NASDAQ 100 COVER124$2.60K<0.1%–
Invesco Exchange Traded FD T46137V399S&P500 BUY WRT136$2.47K<0.1%–
Exchange Listed FDS Tr30151E814HIGH YIELD ETF76$2.23K<0.1%–
iShares Tr46435G342MORTGE REL ETF87$2.16K<0.1%–
GTXGarrett Motion Inc.Stock351$1.95K<0.1%History
PENNPENN Entertainment, Inc.COM58$1.77K<0.1%History
First Tr Exchange-Traded FD33738D101NO AMER ENERGY81$1.61K<0.1%–
iShares Select U.S. REIT ETF464287564ETF15$1.51K<0.1%–
LADLithia Motors IncCOM10$1.51K<0.1%History
Vanguard Real Estate ETF922908553ETF18$1.41K<0.1%–
SWBISmith & Wesson Brands, Inc.COM65$1.40K<0.1%History
First Tr Exchange-Traded FD33738D309SENIOR LN FD31$1.40K<0.1%–
VanEck Vectors ETF Tr92189H870ENERGY INCOME34$1.29K<0.1%–
FRMEFirst Merchants CorpCOM43$1.19K<0.1%History
Invesco Exch Traded FD Tr II46138E594KBW PREM YIELD56$1.08K<0.1%–
SPDR Series Trust78468R556SP O&G EXPL PRO19$991<0.1%–
Global X FDS37954Y343GLBL X MLP ETF34$925<0.1%–
LIVNLivaNova PLCSHS18$866<0.1%History
ECPGEncore Capital Group IncCOM25$855<0.1%History
MATXMatson, Inc.COM26$757<0.1%History
US Ecology, Inc.91734M103COM22$745<0.1%–
SYNASYNAPTICS IncStock12$721<0.1%History
PSXPPhillips 66 Partners LPCOM UNIT REP INT20$721<0.1%History
PRAAPra Group IncCOM17$657<0.1%History
UHSUniversal Health Services IncCL B7$650<0.1%History
PIIPolaris Inc.Stock7$648<0.1%History
JLLJones Lang Lasalle IncCOM6$621<0.1%History