Advisors Asset Management, Inc

CRD#46727
Investment Advisor Firm

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Learn more about Advisors Asset Management, Inc

  • Overview
  • By the Numbers
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Advisors Asset Management, Inc is located at 18925 Base Camp Road, Monument, CO. The firm employs 49 financial advisors to manage client portfolios and provide financial guidance. Advisors Asset Management, Inc is a registered broker-dealer.

    Advisors Asset Management, Inc oversees $3.9 billion in assets under management across 1,767 accounts, of which 1,736 are discretionary and 31 are non-discretionary. The services offered include portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for institutional clients, and other services. The firm caters to retail investors, high net worth investors, investment companies, pension plans, charitable organizations, other investment advisers, and corporations, with retail investors being the largest client type by accounts. The fee structure at Advisors Asset Management, Inc is asset-based. The firm has 110 high net worth clients and maintains affiliations with a broker-dealer or securities dealer and a commodity pool advisor.

    Advisors Asset Management, Inc is registered in the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, Wisconsin, and Wyoming.

    Assets Under Management

    $3.9 billion

    Number of Advisors

    49

    Disclosures

    No

    Office Location

    18925 Base Camp Road
    Monument, CO 80132

    Advisors Asset Management, Inc by the Numbers

    Total Assets Under Management

    $3.9 billion

    National Average: $8.6 billion
    Total Number of Employees

    272

    National Average: 64
    Total Number of Accounts

    1,767

    National Average: 375,227
    Average Account Size

    $2.2 million

    National Average: $23.0 thousand
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    Fee Structure

    Fees for financial advisory services largely vary depending on which services are offered. Fees billed by Advisors Asset Management, Inc typically consist of the following fee structure: asset-based.The firm participates in a wrap fee program, in which the firm offers a service bundle for a comprehensive fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 32% of firms that offer this fee type

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The company does business with a broad range of customers. The firm caters to retail investors, high net worth investors, investment companies, pension plans, charitable organizations, other investment advisers, and corporations. Out of its 7 clients, Advisors Asset Management, Inc's largest client type by number of accounts is investment companies, but it also serves 110 high-net-worth individuals. A high-net-worth individual is defined by the SEC as someone who has at least $750,000 under management or a net worth of more than $1,50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 7.38%
    • Other Individuals - 87.86%
    • Corporations - 4.63%
    • Charitable Organizations - 0.13%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Advisors Asset Management, Inc does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Advisors Asset Management, Inc

    Evangeline Kanaris
    Lisle, IL
    German Diaz
    Dallas, TX
    Brian Winkler
    Melville, NY
    Shane Brennan
    West Chester, PA
    Robert Wilkinson
    Doylestown, PA
    Michael Pucci
    Melville, NY
    Michael Petrucelli
    Melville, NY
    Lory Espino
    Boerne, TX
    Rogelio Gonzalez
    Boca Raton, FL

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    The content in this profile was updated by SmartAsset on 6/19/2024. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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