Skip to main content
Livermore
Livermore
ZHEN

Advisors Asset Management, Inc.

SEC CIK
0001297376
Latest filing
Aug 13, 2026

Holdings in Q4 2020

Holdings as of Dec 31, 2020, filed Aug 26, 2026. Long positions only; changes compare share counts with Q3 2020.

Institution overview
Positions
1,507
−13 vs. Q3 2020
Portfolio value
$6.33B
+$925.8M (+17.1%) vs. Q3 2020
Filed
Aug 26, 2026
AmendedSEC
Holdings of Advisors Asset Management, Inc. in Q4 2020
SecurityClassSharesValue% of portfolioShare changeActionHistory
AMZNAmazon Com IncStock80,924$263.6M4.2%−983−1.2%ReducedHistory
AAPLApple Inc.Stock1,733,550$230.0M3.6%−58,766−3.3%ReducedHistory
MSFTMicrosoft CorpStock1,013,891$225.5M3.6%−50,640−4.8%ReducedHistory
GOOGLAlphabet Inc.Stock94,512$165.6M2.6%+1,105+1.2%AddedHistory
METAMeta Platforms, Inc.Stock587,133$160.4M2.5%+5,324+0.9%AddedHistory
VVisa Inc.Stock559,094$122.3M1.9%+4,640+0.8%AddedHistory
PYPLPayPal Holdings, Inc.Stock466,517$109.3M1.7%+6,485+1.4%AddedHistory
MAMastercard IncStock287,507$102.6M1.6%+7,926+2.8%AddedHistory
CMCSAComcast CorpStock1,327,832$69.6M1.1%−34,316−2.5%ReducedHistory
VZVerizon Communications IncStock1,074,140$63.1M1.0%+53,779+5.3%AddedHistory
JPMJPMorgan Chase & CoStock433,237$55.1M0.9%+36,415+9.2%AddedHistory
CCICrown Castle Inc.REIT321,435$51.2M0.8%+10,700+3.4%AddedHistory
NEENextera Energy IncStock638,581$49.3M0.8%+473,482+286.8%AddedHistory
HDHome Depot, Inc.Stock183,061$48.6M0.8%−18,319−9.1%ReducedHistory
CHTRCharter Communications, Inc.CL A69,164$45.8M0.7%+1,845+2.7%AddedHistory
AMTAmerican Tower CorpREIT184,553$41.4M0.7%+5,057+2.8%AddedHistory
PFGPrincipal Financial Group IncCOM69,305$40.4M0.6%−7,708−10.0%ReducedHistory
IBMInternational Business Machines CorpStock316,801$39.9M0.6%−4,584−1.4%ReducedHistory
TXNTexas Instruments IncStock239,973$39.4M0.6%−10,535−4.2%ReducedHistory
JNJJohnson & JohnsonStock245,743$38.7M0.6%−11,117−4.3%ReducedHistory
CSCOCisco Systems, Inc.Stock859,578$38.5M0.6%+31,608+3.8%AddedHistory
FDXFedEx CorpStock146,426$38.0M0.6%+6,735+4.8%AddedHistory
TAT&T Inc.Stock1,305,955$37.6M0.6%+60,114+4.8%AddedHistory
UPSUnited Parcel Service IncStock220,142$37.1M0.6%+2,931+1.3%AddedHistory
AXPAmerican Express CoStock287,376$34.7M0.5%+12,264+4.5%AddedHistory
PFEPfizer IncStock925,883$34.1M0.5%−181,022−16.4%ReducedHistory
CVXChevron CorpStock402,116$34.0M0.5%+5,892+1.5%AddedHistory
MDTMedtronic plcStock275,009$32.2M0.5%−19,494−6.6%ReducedHistory
DOWDow Inc.Stock559,057$31.0M0.5%+23,474+4.4%AddedHistory
LMTLockheed Martin CorpStock84,331$29.9M0.5%−8,433−9.1%ReducedHistory
TMOThermo Fisher Scientific Inc.Stock62,646$29.2M0.5%−4,406−6.6%ReducedHistory
SBUXStarbucks CorpStock268,245$28.7M0.5%+4,309+1.6%AddedHistory
NFJVirtus Dividend, Interest & Premium Strategy FundCOM1,356,258$28.4M0.4%−80,798−5.6%ReducedHistory
ADBEAdobe Inc.Stock56,533$28.3M0.4%−7,564−11.8%ReducedHistory
KOCoca Cola CoStock501,161$27.5M0.4%−19,789−3.8%ReducedHistory
AVGOBroadcom Inc.Stock60,263$26.4M0.4%−1,548−2.5%ReducedHistory
BCVBancroft Fund LtdCOM483,645$26.0M0.4%+780.0%AddedHistory
ACVVirtus Diversified Income & Convertible FundCOM399,677$25.9M0.4%+70,559+21.4%AddedHistory
MCDMcDonalds CorpStock120,272$25.8M0.4%−10,230−7.8%ReducedHistory
HONHoneywell International IncCOM119,878$25.5M0.4%−10,587−8.1%ReducedHistory
PGProcter & Gamble CoStock181,701$25.3M0.4%−11,847−6.1%ReducedHistory
ABBVAbbVie Inc.Stock235,249$25.2M0.4%+17,268+7.9%AddedHistory
BLKBlackRock, Inc.COM34,885$25.2M0.4%−1,545−4.2%ReducedHistory
ABTAbbott LaboratoriesStock220,878$24.2M0.4%−2,493−1.1%ReducedHistory
MRKMerck & Co., Inc.Stock293,165$24.0M0.4%+107,727+58.1%AddedHistory
MMM3M CoStock135,802$23.7M0.4%+1,599+1.2%AddedHistory
TSLATesla, Inc.Stock33,632$23.7M0.4%+4,769+16.5%AddedHistory
RVTRoyce Small-Cap Trust, Inc.COM616,561$21.6M0.3%−1,552−0.3%ReducedHistory
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT1,261,652$21.1M0.3%+37,142+3.0%AddedHistory
MRSHMarsh & McLennan Companies, Inc.Stock177,986$20.8M0.3%−11,960−6.3%ReducedHistory
COSTCostco Wholesale CorpStock54,145$20.4M0.3%−6,700−11.0%ReducedHistory
NIEVirtus Equity & Convertible Income FundCOM715,405$20.2M0.3%−93,718−11.6%ReducedHistory
UNHUnitedHealth Group IncStock56,030$19.6M0.3%−4,702−7.7%ReducedHistory
PEPPepsiCo IncStock128,448$19.0M0.3%−2,221−1.7%ReducedHistory
ADPAutomatic Data Processing IncStock106,993$18.9M0.3%+6,410+6.4%AddedHistory
PAYXPaychex IncStock202,124$18.8M0.3%−5,210−2.5%ReducedHistory
QCOMQualcomm IncStock120,561$18.4M0.3%+33,035+37.7%AddedHistory
JRINuveen Real Asset Income & Growth FundCOM618,636$18.1M0.3%−126,611−17.0%ReducedHistory
First Tr Energy Infrastrctr33738C103COM966,481$18.1M0.3%−52,043−5.1%Reduced–
EBAYeBay IncCOM359,042$18.0M0.3%−78,117−17.9%ReducedHistory
IGRCbre Global Real Estate Income FundCOM1,163,829$18.0M0.3%+67,280+6.1%AddedHistory
ACNAccenture plcStock68,345$17.9M0.3%−22,775−25.0%ReducedHistory
GLQClough Global Equity FundCOM448,883$17.7M0.3%−4,687−1.0%ReducedHistory
BACBank of America CorpStock575,084$17.4M0.3%+48,080+9.1%AddedHistory
GHYPGIM Global High Yield Fund, Inc.COM517,634$17.3M0.3%−126,410−19.6%ReducedHistory
XOMExxonMobil Holdings CorpCOM418,117$17.2M0.3%−10,423−2.4%ReducedHistory
DISWalt Disney CoStock95,071$17.2M0.3%−9,624−9.2%ReducedHistory
Macquarie Global Infrastruct55608D101COM363,748$16.9M0.3%−5,781−1.6%Reduced–
LLYEli Lilly & CoStock99,162$16.7M0.3%+6,686+7.2%AddedHistory
IPGInterpublic Group of Companies, Inc.COM705,423$16.6M0.3%+8,654+1.2%AddedHistory
TFCTruist Financial CorpCOM344,517$16.5M0.3%−26,744−7.2%ReducedHistory
JJacobs Solutions Inc.COM150,422$16.4M0.3%+30,385+25.3%AddedHistory
NVDANVIDIA CorpStock31,216$16.3M0.3%+1,407+4.7%AddedHistory
APDAir Products & Chemicals, Inc.Stock59,650$16.3M0.3%+4,994+9.1%AddedHistory
BGSB&G Foods, Inc.COM585,355$16.2M0.3%−68,690−10.5%ReducedHistory
RNPCohen & Steers REIT & Preferred & Income Fund IncCOM258,382$16.2M0.3%−32,703−11.2%ReducedHistory
CHICalamos Convertible Opportunities & Income FundSH BEN INT1,178,427$16.0M0.3%+23,801+2.1%AddedHistory
MDLZMondelez International, Inc.Stock271,767$15.9M0.3%+17,712+7.0%AddedHistory
USALiberty All Star Equity FundSH BEN INT739,887$15.9M0.3%−140,784−16.0%ReducedHistory
ADSKAutodesk, Inc.COM51,893$15.8M0.3%−1,437−2.7%ReducedHistory
CVSCVS Health CorpStock229,445$15.7M0.2%−219−0.1%ReducedHistory
TMUST-Mobile US, Inc.Stock115,161$15.5M0.2%+33,427+40.9%AddedHistory
PPLPPL CorpCOM548,996$15.5M0.2%−21,202−3.7%ReducedHistory
PANWPalo Alto Networks IncStock43,526$15.5M0.2%+589+1.4%AddedHistory
WBAWalgreens Boots Alliance, Inc.COM380,639$15.2M0.2%−1,992−0.5%ReducedHistory
EODAllspring Global Dividend Opportunity FundCOM1,118,290$15.1M0.2%−350,501−23.9%ReducedHistory
AMAntero Midstream CorpStock1,952,297$15.1M0.2%−77,432−3.8%ReducedHistory
CATCaterpillar IncStock80,421$14.6M0.2%−31,862−28.4%ReducedHistory
INTCIntel CorpStock293,782$14.6M0.2%−47,267−13.9%ReducedHistory
DHRDanaher CorpStock65,827$14.6M0.2%−5,385−7.6%ReducedHistory
PDCOPatterson Companies, Inc.COM485,018$14.4M0.2%−104,239−17.7%ReducedHistory
TSMTaiwan Semiconductor Manufacturing Co LtdADR131,398$14.3M0.2%+18,027+15.9%AddedHistory
ECFEllsworth Growth & Income Fund LtdCOM1,021,673$14.2M0.2%+16,903+1.7%AddedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM937,403$14.1M0.2%+78,173+9.1%AddedHistory
KROKronos Worldwide IncCOM908,952$13.6M0.2%−93,089−9.3%ReducedHistory
HQHabrdn Healthcare InvestorsSH BEN INT170,306$13.4M0.2%−33,826−16.6%ReducedHistory
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM1,514,640$13.3M0.2%−13,429−0.9%ReducedHistory
NXGNXG NextGen Infrastructure Income FundCOM76,590$13.2M0.2%−3,833−4.8%ReducedHistory
MOAltria Group, Inc.Stock315,597$12.9M0.2%−20,924−6.2%ReducedHistory
ETYEaton Vance Tax-Managed Diversified Equity Income FundCOM265,220$12.8M0.2%−56,110−17.5%ReducedHistory

Sold out since Q3 2020 (76)

Positions held at the end of Q3 2020 that are gone from this filing.

Positions of Advisors Asset Management, Inc. sold out since Q3 2020
SecurityClassShares in Q3 2020Value in Q3 2020% of portfolio in Q3 2020History
Seattle Genetics Inc812578102COM11,377$2.23M<0.1%–
BXSYBexil Investment TrustCOM185,470$1.69M<0.1%History
TPRTapestry, Inc.COM98,004$1.53M<0.1%History
MVC Capital Inc553829102COM187,380$1.46M<0.1%–
Unilever PLC904784709COM22,080$1.33M<0.1%–
HNWPioneer Diversified High Income Fund, Inc.COM74,846$1.01M<0.1%History
Eaton Vance FLTG Rate Incom278284104COM SHS BEN INT68,313$957.7K<0.1%–
RDYDr Reddys Laboratories LtdADR10,640$740.1K<0.1%History
ACHAccendra Health IncStock25,167$631.9K<0.1%History
Immunomedics Inc Com452907108Stock5,820$494.9K<0.1%–
E Trade Financial Corp Com New269246401Stock9,411$471.0K<0.1%–
Western Asset Corporate LN F Com95790J102EXCHANGE TRADED48,606$450.1K<0.1%–
AANAaron's Company, Inc.COM7,357$416.8K<0.1%History
VERVEREIT, Inc.COM62,807$408.2K<0.1%History
PRAHPRA Health Sciences, Inc.COM3,043$308.7K<0.1%History
TD Ameritrade Hldg Corp Com87236Y108COM5,788$226.6K<0.1%–
OPIOffice Properties Income TrustCOM SHS BEN INT10,364$214.7K<0.1%History
ERCAllspring Multi-Sector Income FundCOM19,922$214.2K<0.1%History
Duff & Phelps SLT Engy and M26433F108COM602,654$211.0K<0.1%–
Cabot Microelectronics Corp12709P103COM1,477$210.9K<0.1%–
MNSTMonster Beverage CorpCOM2,271$182.1K<0.1%History
KNXKnight-Swift Transportation Holdings Inc.CL A4,340$176.6K<0.1%History
IAEVoya Asia Pacific High Dividend Equity Income FundCOM20,812$164.8K<0.1%History
ICPTIntercept Pharmaceuticals, Inc.COM3,848$159.5K<0.1%History
Wright Med Group N V Ord ShsN96617118Stock4,804$146.7K<0.1%–
PRAProassurance CorpCOM8,847$138.4K<0.1%History
REXRRexford Industrial Realty, Inc.COM5,306$136.7K<0.1%History
AAgilent Technologies, Inc.COM1,321$133.3K<0.1%History
STTState Street CorpCOM2,003$118.8K<0.1%History
Mylan NV Shs EuroN59465109Stock7,742$114.8K<0.1%–
Taubman CTRS Inc Com876664103Stock3,262$108.6K<0.1%–
Washington Prime Group New Com93964W108REIT166,604$107.9K<0.1%–
Fiduciary Claymore Engry Inf31647Q205COM14,096$101.5K<0.1%–
Entercom Communications Corp293639100CL A56,148$90.4K<0.1%–
AIRAar CorpStock4,807$90.4K<0.1%History
CATYCathay General BancorpCOM4,094$88.8K<0.1%History
NKLANikola CorpCOM4,320$88.5K<0.1%History
PHMPultegroup IncCOM1,841$85.2K<0.1%History
PEBPebblebrook Hotel TrustCOM6,700$84.0K<0.1%History
HQYHealthequity, Inc.COM1,561$80.2K<0.1%History
REGRegency Centers CorpCOM2,090$79.5K<0.1%History
Noble Energy Inc Com655044105Stock8,897$76.1K<0.1%–
Advanced Disp Svcs Inc del Com00790X101Stock2,460$74.4K<0.1%–
QUADQuad/Graphics, Inc.COM CL A21,291$64.5K<0.1%History
GWBGreat Western Bancorp, Inc.COM4,094$51.0K<0.1%History
SANBanco Santander, S.A.ADR27,280$50.5K<0.1%History
iShares Inc464286285JP MRGN EM HI BD1,043$45.5K<0.1%–
PUMPProPetro Holding Corp.COM11,080$45.0K<0.1%History
ProShares Tr74347B607INVT INT RT HG618$44.2K<0.1%–
GOOSCanada Goose Holdings Inc.SHS SUB VTG1,340$43.1K<0.1%History
PIMCO ETF Tr72201R7830-5 HIGH YIELD459$43.1K<0.1%–
KDPKeurig Dr Pepper Inc.COM1,519$41.9K<0.1%History
SHAKShake Shack Inc.CL A603$38.9K<0.1%History
QGENQiagen N.V.SHS NEW598$31.3K<0.1%History
UAUnder Armour, Inc.CL C1,938$19.1K<0.1%History
TRIPTripAdvisor, Inc.COM872$17.1K<0.1%History
NOVTNovanta IncCOM138$14.5K<0.1%History
AAAlcoa CorpStock1,230$14.3K<0.1%History
SAGESage Therapeutics, Inc.COM232$14.2K<0.1%History
Virtusa Corp Com92827P102Stock259$12.7K<0.1%–
ENSGEnsign Group, IncCOM199$11.4K<0.1%History
RYAAYRyanair Holdings PLCSPONSORED ADR118$9.65K<0.1%History
MMSIMerit Medical Systems IncCOM219$9.53K<0.1%History
HMS Hldgs Corp40425J101COM381$9.13K<0.1%–
ANIPAni Pharmaceuticals IncCOM210$5.92K<0.1%History
KTBKontoor Brands, Inc.Stock233$5.64K<0.1%History
PLAYDave & Buster's Entertainment, Inc.COM296$4.49K<0.1%History
PNTGPennant Group, Inc.COM99$3.82K<0.1%History
APAAPA CorpCOM264$2.50K<0.1%History
AVNSAvanos Medical, Inc.Stock51$1.69K<0.1%History
ENREnergizer Holdings, Inc.COM18$705<0.1%History
FLFoot Locker, Inc.COM18$595<0.1%History
Perspecta Inc715347100COM28$545<0.1%–
TRGPTarga Resources Corp.COM17$239<0.1%History
Micro Focus Intl PLC594837403SPON ADR NEW71$229<0.1%–
California Res Corp Com New13057Q206Stock28$2<0.1%–