Advisors Asset Management, Inc.

Monument, CO · CIK 1297376 · 13F filing filed 2026-08-14

SEC-registered investment adviser since 2004 · corporation

Assets managed$2.2bn
Staff255 · 42 in investment roles
Main clients (by assets)Mutual funds and ETFs 63%, Individuals 17%, High net worth individuals 14%
Private funds1 · $44.6m gross assets
Websiteaamlive.com
Form ADV · 2026-08-13SEC adviser record

$6.6bn reported value +9.1% vs Q1 2026

1,408positions

15.4%in top 10

58 new 697 added 640 reduced 101 sold out vs Q1 2026

This report includes the holdings of 1 other manager that shares the investment decisions:

Vident Advisory, LLC – files its own report too; $258.4m of shares are in both

Also in the report of:

Vident Advisory, LLC – $258.4m of shares are in both reports

Shares in two reports are counted once in each security's totals.

Holdings, Q2 2026

The small lines show how much was held over the last 4 quarters (adjusted for stock splits).

#	Security	Ticker	Shares	Value	% of portfolio	Change	Shares change
1	ALPHABET INC CAP STK CL A GOOGL	GOOGL	511,579	$182.8m2.79%	2.79%	Reduced -44.7k	-44,674 -8.0%
2	AMAZON COM INC COM AMZN	AMZN	717,449	$171.0m2.61%	2.61%	Reduced -28.8k	-28,831 -3.9%
3	APPLE INC COM AAPL	AAPL	500,696	$144.9m2.21%	2.21%	Reduced -24.7k	-24,669 -4.7%
4	MICROSOFT CORP COM MSFT	MSFT	277,185	$103.4m1.58%	1.58%	Added +2.5k	+2,488 0.9%
5	META PLATFORMS INC CL A META	META	155,324	$87.5m1.33%	1.33%	Added +3.5k	+3,516 2.3%
6	WALMART INC COM WMT	WMT	678,683	$76.9m1.17%	1.17%	Reduced -71.0k	-71,031 -9.5%
7	MICRON TECHNOLOGY INC COM MU	MU	59,026	$68.1m1.04%	1.04%	Reduced -5.5k	-5,457 -8.5%
8	VISA INC COM CL A V	V	195,291	$67.0m1.02%	1.02%	Added +3.0k	+3,048 1.6%
9	MASTERCARD INCORPORATED CL A MA	MA	109,136	$56.1m0.85%	0.85%	Reduced -3.9k	-3,863 -3.4%
10	CORNING INC COM GLW	GLW	206,405	$52.7m0.80%	0.80%	Reduced -63.8k	-63,781 -23.6%
11	INTERNATIONAL BUSINESS MACHS COM IBM	IBM	174,466	$49.1m0.75%	0.75%	Added +16.0k	+16,020 10.1%
12	VERIZON COMMUNICATIONS INC COM VZ	VZ	1,143,047	$48.4m0.74%	0.74%	Reduced -56.8k	-56,754 -4.7%
13	BROADCOM INC COM AVGO	AVGO	123,935	$46.8m0.71%	0.71%	Reduced -12.7k	-12,745 -9.3%
14	TEXAS INSTRS INC COM TXN	TXN	155,760	$46.4m0.71%	0.71%	Reduced -15.0k	-14,962 -8.8%
15	MERCK & CO INC COM MRK	MRK	346,193	$44.5m0.68%	0.68%	Reduced -3.3k	-3,283 -0.9%
16	CISCO SYS INC COM CSCO	CSCO	346,996	$40.8m0.62%	0.62%	Reduced -113.7k	-113,739 -24.7%
17	PALO ALTO NETWORKS INC COM PANW	PANW	119,088	$40.6m0.62%	0.62%	Added +4.3k	+4,342 3.8%
18	DELL TECHNOLOGIES INC CL C DELL	DELL	92,770	$40.0m0.61%	0.61%	Added +6.1k	+6,118 7.1%
19	UNITED PARCEL SERVICE INC CL B UPS	UPS	371,759	$40.0m0.61%	0.61%	Added +25.1k	+25,126 7.2%
20	SHOPIFY INC CL A SUB VTG SHS SHOP	SHOP	327,792	$37.4m0.57%	0.57%	Reduced -11.8k	-11,845 -3.5%
21	COSTCO WHSL CORP NEW COM COST	COST	38,844	$36.3m0.55%	0.55%	Added +1.5k	+1,539 4.1%
22	AMGEN INC COM AMGN	AMGN	97,240	$35.2m0.54%	0.54%	Reduced -6.5k	-6,539 -6.3%
23	JOHNSON & JOHNSON COM JNJ	JNJ	137,584	$34.9m0.53%	0.53%	Reduced -29.2k	-29,192 -17.5%
24	HOME DEPOT INC COM HD	HD	97,906	$34.5m0.53%	0.53%	Added +11.5k	+11,522 13.3%
25	AMERICAN EXPRESS CO COM AXP	AXP	101,475	$34.3m0.52%	0.52%	Reduced -678	-678 -0.7%
26	LAM RESEARCH CORP COM NEW LRCX	LRCX	75,962	$32.9m0.50%	0.50%	Reduced -9.4k	-9,394 -11.0%
27	CHEVRON CORP NEW COM CVX	CVX	198,177	$32.8m0.50%	0.50%	Added +5.9k	+5,923 3.1%
28	NVIDIA CORPORATION COM NVDA	NVDA	155,022	$31.0m0.47%	0.47%	Reduced -11.0k	-11,048 -6.7%
29	COCA COLA CO COM KO	KO	368,348	$29.9m0.46%	0.46%	Reduced -11.9k	-11,892 -3.1%
30	GE VERNOVA INC COM GEV	GEV	25,204	$29.6m0.45%	0.45%	Reduced -5.7k	-5,692 -18.4%
31	GOLDMAN SACHS GROUP INC COM GS	GS	28,942	$29.3m0.45%	0.45%	Reduced -59	-59 -0.2%
32	AMPHENOL CORP CL A APH	APH	160,534	$28.3m0.43%	0.43%	Reduced -16.9k	-16,903 -9.5%
33	PARKER-HANNIFIN CORP COM PH	PH	28,149	$27.5m0.42%	0.42%	Added +1.2k	+1,167 4.3%
34	ELI LILLY & CO COM LLY	LLY	22,773	$27.3m0.42%	0.42%	Added +406	+406 1.8%
35	CUMMINS INC COM CMI	CMI	37,979	$27.1m0.41%	0.41%	Reduced -6.2k	-6,250 -14.1%
36	KAYNE ANDERSON ENERGY INFRST COM KYN	KYN	1,912,181	$26.4m0.40%	0.40%	Reduced -3.7k	-3,707 -0.2%
37	PROCTER AND GAMBLE CO COM PG	PG	178,914	$26.2m0.40%	0.40%	Added +10.5k	+10,509 6.2%
38	UNITEDHEALTH GROUP INC COM UNH	UNH	62,682	$26.1m0.40%	0.40%	Added +1.5k	+1,515 2.5%
39	JPMORGAN CHASE & CO COM JPM	JPM	78,621	$25.7m0.39%	0.39%	Added +2.1k	+2,116 2.8%
40	BLACKROCK MUNIHLDNGS CALI QL COM MUC	MUC	2,305,569	$25.3m0.39%	0.39%	Added +314.2k	+314,156 15.8%
41	AT&T INC COM T	T	1,195,359	$24.7m0.38%	0.38%	Reduced -55.8k	-55,763 -4.5%
42	T-MOBILE US INC COM TMUS	TMUS	146,333	$24.5m0.37%	0.37%	Reduced -1.9k	-1,927 -1.3%
43	NEXTERA ENERGY INC COM NEE	NEE	272,557	$23.9m0.36%	0.36%	Added +29.6k	+29,610 12.2%
44	CELESTICA INC COM CLS	CLS	64,678	$23.6m0.36%	0.36%	Reduced -18.2k	-18,180 -21.9%
45	NUVEEN S&P 500 DYNAMIC OVERW COM XSSPX	XSSPX	1,233,884	$23.0m0.35%	0.35%	Added +39.8k	+39,836 3.3%
46	COMCAST CORP NEW CL A CMCSA	CMCSA	933,238	$22.9m0.35%	0.35%	Added +119.1k	+119,134 14.6%
47	NUVEEN CA QUALTY MUN INCOME COM NAC	NAC	1,877,055	$22.7m0.35%	0.35%	Added +227.3k	+227,281 13.8%
48	ABBVIE INC COM ABBV	ABBV	87,496	$22.0m0.34%	0.34%	Added +252	+252 0.3%
49	ATI INC COM ATI	ATI	111,122	$21.9m0.33%	0.33%	Added +8.6k	+8,617 8.4%
50	STERLING INFRASTRUCTURE INC COM STRL	STRL	26,080	$21.9m0.33%	0.33%	Reduced -4.6k	-4,555 -14.9%
51	MASTEC INC COM MTZ	MTZ	51,285	$21.3m0.33%	0.33%	Added +3.6k	+3,590 7.5%
52	FEDEX CORP COM FDX	FDX	67,283	$21.1m0.32%	0.32%	Reduced -615	-615 -0.9%
53	KLA CORP COM NEW KLAC	KLAC	69,724	$21.0m0.32%	0.32%	Added +15.1k	+15,104 27.6%
54	PFIZER INC COM PFE	PFE	873,428	$21.0m0.32%	0.32%	Reduced -7.8k	-7,845 -0.9%
55	LOCKHEED MARTIN CORP COM LMT	LMT	40,501	$20.6m0.31%	0.31%	Reduced -2.5k	-2,490 -5.8%
56	VIRTUS CONVERTIBLE & INC FD COM NEW NCZ	NCZ	1,296,527	$20.6m0.31%	0.31%	Added +203.2k	+203,210 18.6%
57	GABELLI DIVID & INCOME TR COM XGDVX	XGDVX	684,610	$20.1m0.31%	0.31%	Added +16.7k	+16,728 2.5%
58	APPLIED MATLS INC COM AMAT	AMAT	27,589	$19.9m0.30%	0.30%	Added +392	+392 1.4%
59	GE AEROSPACE COM NEW GE	GE	53,153	$19.9m0.30%	0.30%	Added +161	+161 0.3%
60	EMCOR GROUP INC COM EME	EME	23,867	$19.8m0.30%	0.30%	Reduced -1.2k	-1,169 -4.7%
61	ROCKWELL AUTOMATION INC COM ROK	ROK	39,174	$19.4m0.30%	0.30%	Added +6.8k	+6,845 21.2%
62	ADVANCED MICRO DEVICES INC COM AMD	AMD	31,722	$18.4m0.28%	0.28%	Reduced -6.3k	-6,303 -16.6%
63	TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS TSM	TSM	38,162	$18.2m0.28%	0.28%	Added +1.9k	+1,928 5.3%
64	MORGAN STANLEY COM NEW MS	MS	85,487	$17.9m0.27%	0.27%	Added +578	+578 0.7%
65	VIRTUS EQUITY & CONV INCM FD COM XNIEX	XNIEX	663,531	$17.8m0.27%	0.27%	Reduced -18.2k	-18,182 -2.7%
66	UBER TECHNOLOGIES INC COM UBER	UBER	242,468	$17.5m0.27%	0.27%	Added +15.2k	+15,197 6.7%
67	CATERPILLAR INC COM CAT	CAT	16,392	$17.5m0.27%	0.27%	Added +4.3k	+4,259 35.1%
68	BRISTOL-MYERS SQUIBB CO COM BMY	BMY	302,317	$17.4m0.27%	0.27%	Added +68.1k	+68,061 29.1%
69	MOTOROLA SOLUTIONS INC COM NEW MSI	MSI	41,269	$17.1m0.26%	0.26%	Added +5.7k	+5,698 16.0%
70	DOORDASH INC CL A DASH	DASH	92,032	$17.0m0.26%	0.26%	Added +21.8k	+21,764 31.0%
71	ARISTA NETWORKS INC COM SHS ANET	ANET	98,914	$16.8m0.26%	0.26%	Reduced -4.2k	-4,157 -4.0%
72	TORTOISE ENERGY INFRA CORP COM TYG	TYG	390,431	$16.7m0.26%	0.26%	Reduced -32.0k	-32,042 -7.6%
73	HOWMET AEROSPACE INC COM HWM	HWM	61,384	$16.5m0.25%	0.25%	Reduced -12.7k	-12,722 -17.2%
74	VALMONT INDS INC COM VMI	VMI	28,370	$16.4m0.25%	0.25%	Added +4.2k	+4,220 17.5%
75	ALLSPRING GLOBAL DIVIDEND OP COM EOD	EOD	2,483,205	$16.2m0.25%	0.25%	Added +27.7k	+27,701 1.1%
76	DYCOM INDS INC COM DY	DY	31,944	$16.2m0.25%	0.25%	Added +1.4k	+1,389 4.5%
77	GILEAD SCIENCES INC COM GILD	GILD	127,450	$16.1m0.25%	0.25%	Reduced -27.8k	-27,803 -17.9%
78	AMERICAN TOWER CORP NEW COM AMT	AMT	98,143	$16.1m0.24%	0.24%	Reduced -9.5k	-9,487 -8.8%
79	BLOOM ENERGY CORP COM CL A BE	BE	52,205	$15.8m0.24%	0.24%	Reduced -27.0k	-26,961 -34.1%
80	BLACKROCK ENHANCED GLOBAL DI COM XBOEX	XBOEX	1,301,417	$15.7m0.24%	0.24%	Added +140.3k	+140,321 12.1%
81	CARPENTER TECHNOLOGY CORP COM CRS	CRS	25,489	$15.7m0.24%	0.24%	Reduced -3.5k	-3,452 -11.9%
82	VALERO ENERGY CORP COM VLO	VLO	60,240	$15.7m0.24%	0.24%	Reduced -3.0k	-3,015 -4.8%
83	MYR GROUP INC DEL COM MYRG	MYRG	31,209	$15.6m0.24%	0.24%	Added +277	+277 0.9%
84	NUVEEN CALIFORNIA AMT QLT MU COM XNCMX	XNCMX	1,240,864	$15.5m0.24%	0.24%	Added +164.9k	+164,851 15.3%
85	GRANITE CONSTR INC COM GVA	GVA	98,098	$15.5m0.24%	0.24%	Reduced -4.0k	-3,958 -3.9%
86	DUFF & PHELPS UTLITY AND INF COM DPG	DPG	1,043,485	$15.5m0.24%	0.24%	Reduced -43.1k	-43,081 -4.0%
87	QUALCOMM INC COM QCOM	QCOM	83,395	$15.4m0.24%	0.24%	Added +16.1k	+16,104 23.9%
88	ILLINOIS TOOL WKS INC COM ITW	ITW	56,764	$15.4m0.23%	0.23%	Reduced -1.3k	-1,257 -2.2%
89	INVESCO CALIF VALUE MUN INCO COM VCV	VCV	1,388,219	$15.0m0.23%	0.23%	Added +155.3k	+155,317 12.6%
90	ALTRIA GROUP INC COM MO	MO	207,534	$14.9m0.23%	0.23%	Reduced -45.1k	-45,052 -17.8%
91	LUMENTUM HLDGS INC COM LITE	LITE	17,361	$14.9m0.23%	0.23%	Added +1.5k	+1,493 9.4%
92	TJX COS INC NEW COM TJX	TJX	98,215	$14.9m0.23%	0.23%	Added +595	+595 0.6%
93	PIMCO CALIF MUN INCOME FD COM XPCQX	XPCQX	1,652,372	$14.8m0.23%	0.23%	Added +438.7k	+438,723 36.1%
94	UNITED RENTALS INC COM URI	URI	12,943	$14.7m0.22%	0.22%	Added +342	+342 2.7%
95	BLACKROCK MUNIHOLDINGS FD IN COM MHD	MHD	1,231,476	$14.7m0.22%	0.22%	Reduced -4.8k	-4,759 -0.4%
96	ONEOK INC NEW COM OKE	OKE	168,493	$14.6m0.22%	0.22%	Added +17.6k	+17,601 11.7%
97	ABRDN HEALTHCARE INVESTORS SH BEN INT HQH	HQH	665,476	$14.6m0.22%	0.22%	Added +88.2k	+88,237 15.3%
98	CROWN CASTLE INC COM CCI	CCI	189,972	$14.4m0.22%	0.22%	Reduced -12.6k	-12,634 -6.2%
99	CALAMOS STRATEGIC TOTAL RETU COM SH BEN INT CSQ	CSQ	699,531	$14.4m0.22%	0.22%	Added +50.5k	+50,453 7.8%
100	VIATRIS INC COM VTRS	VTRS	885,796	$14.1m0.21%	0.21%	Reduced -97.7k	-97,735 -9.9%

Sold out since Q1 2026

Security	Ticker	Shares held before	Value then
QUANTA SVCS INC PWR	PWR	44,835	$24.6m44.8k shares
RTX CORPORATION RTX	RTX	102,208	$19.7m102.2k shares
CLEARWAY ENERGY INC		387,715	$15.2m387.7k shares
BLACKROCK MUNIYIELD QUALITY MYI	MYI	981,253	$10.3m981.3k shares
HONEYWELL INTL INC		21,437	$9.7m21.4k shares
TARGET CORP TGT	TGT	65,688	$8.0m65.7k shares
CENCORA INC COR	COR	19,148	$6.0m19.1k shares
INVESCO ADVANTAGE MUN INCOME VKI	VKI	649,812	$5.6m649.8k shares
FORTINET INC FTNT	FTNT	65,952	$5.4m66.0k shares
SPX TECHNOLOGIES INC SPXC	SPXC	22,619	$4.5m22.6k shares
VALE S A VALE	VALE	264,243	$4.2m264.2k shares
BARCLAYS PLC BCS	BCS	151,871	$3.2m151.9k shares
FLAHERTY & CRUMRINE PFD INCO PFO	PFO	350,620	$3.2m350.6k shares
GAMCO NAT RES GOLD & INCOME GNT	GNT	376,878	$3.1m376.9k shares
ASCENDIS PHARMA A/S		12,200	$2.8m12.2k shares
EDWARDS LIFESCIENCES CORP EW	EW	28,481	$2.3m28.5k shares
MASIMO CORP MASI	MASI	12,080	$2.1m12.1k shares
BNY MELLON STRATEGIC MUN BD DSM	DSM	328,325	$2.0m328.3k shares
BLACKSTONE SENI FLTN RAT 202 BSL	BSL	139,476	$1.8m139.5k shares
GRUPO AEROPORTUARIO DEL SURE ASR	ASR	4,204	$1.4m4.2k shares
COTERRA ENERGY INC CTRA	CTRA	40,073	$1.4m40.1k shares
NEXTRACKER INC NXT	NXT	10,848	$1.3m10.8k shares
FLEX LTD FLEX	FLEX	17,514	$1.1m17.5k shares
ABRDN GLOBAL PREMIER PPTYS F AWP	AWP	100,403	$1.1m100.4k shares
NUVEEN MUN VALUE FD INC NUV	NUV	98,140	$882.3k98.1k shares

Stakes above 5%

Companies where this manager has reported owning more than 5% of a class of shares, on Schedule 13D (may seek influence) or 13G (passive): its latest filing for each, from 19 Dec 2024 on.

Company	Ticker	Stake	Change	Schedule	Last filed
ALLSPRING GLOBAL DIVIDEND OP EOD · 13G · filed 2026-03-10	EOD	5.8%≈ $16.2m	+1.1 pts	13G	2026-03-10
VIRTUS CONVERTIBLE & INC FD NCZ · 13G · filed 2026-01-21	NCZ	5.5%≈ $16.7m		13G	2026-01-21