DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Aam
Legal name Asset Allocation & Management Company, LLC
Latest filing Mar 24, 2026
First filing on the tape Mar 21, 2012 · 32 filings
SEC status approved since Mar 1, 2001
RAUM
$27B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.7%
$201M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
49
30 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$27B as of Mar 24, 2026
Mar 21, 2012$16B then
HNW client RAUM$201M as of Mar 24, 2026
Mar 31, 2020$243M then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 27, 20130 then
Employees (5.A)49 as of Mar 24, 2026
Mar 27, 201348 then
Private funds1 as of Mar 16, 2017
Mar 5, 20141 then
RAUM +14% over the last fiscal year+4.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $101MderivedHNW RAUM over HNW clients
- Average account
- $32.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$27B99%
- High-net-worth individuals$201M0.7%
- Corporations and businesses$171M0.6%
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 846reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.0 institutional_share=0.99 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Aam Quadrant Core Mortgage Fundno longer reported | Other Private Fund | $0 | 0 | Oct 21, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Allen Joseph Borgmann · Chief Financial Officercontrolsince 03/2017 · owns less than 5%
- Anthony Marco Bravo · Directorcontrolsince 08/2023 · owns less than 5%
- Byck Eric Goodman · Directorcontrolsince 12/2014 · owns less than 5%
- Louise Suzette Huovinen · Directorcontrolsince 05/2023 · owns less than 5%
- Lynn Chelsea Klassa · Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
- Larkin John Schaefer · Chief Executive Officer, Managing Membercontrolsince 04/2002 · owns less than 5%
- J. Timothy Senechalle · Chief Investment Officercontrolsince 05/2024 · owns less than 5%
- John Warren Zaccaro · Directorcontrolsince 03/2020 · owns less than 5%
- Anthony Marco Bravo · Managing Membercontrolsince 01/2010 · owns 75% or more of Bravo, Inc.
- Larkin John Schaefer · Managing Membercontrolsince 12/2007 · owns 75% or more of Schaefco, Inc.
Entity owners
- Bravo, Inc. · Memberdirect · owns 5% to 10%
- Schaefco, Inc. · Memberdirect · owns 5% to 10%
- Securian Aam Holdings, LLC · Sole Direct Ownerdirect · owns 50% to 75%
- Minnesota Life Insurance Company · Shareholderindirect · owns 75% or more of Securian Aam Holdings, LLC
- Minnesota Mutual Companies, Inc. · Shareholderindirect · owns 75% or more of Securian Holding Company
- Securian Financial Group, Inc. · Shareholderindirect · owns 75% or more of Minnesota Life Insurance Company
- Securian Holding Company · Shareholderindirect · owns 75% or more of Securian Financial Group, Inc.
Related persons
Schedule D 7.A
- A/Z Management, LLCpooled vehicle sponsory
- Minnesota Life Insurance Companyreal estatey
- Securian Asset Management, Inc.investment advisernRAUM $42B
- Securian Financial Services, Inc.broker-dealerinvestment advisernRAUM $21B
- Securian Life Insurance Companyreal estaten
Advisers that list Aam as a related person
- 109905 n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 811 to 846Mar 30, 2025 to Mar 24, 2026
- Employees · 46 to 49Mar 30, 2025 to Mar 24, 2026
- Discretionary RAUM · $24B to $27BMar 30, 2025 to Mar 24, 2026
- HNW RAUM · $202M to $201MMar 30, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $188M to $760MMar 30, 2025 to Mar 24, 2026
- RAUM · $24B to $27BMar 30, 2025 to Mar 24, 2026
- Accounts · 769 to 811May 30, 2024 to Mar 30, 2025
- Employees · 48 to 46May 30, 2024 to Mar 30, 2025
- Financial planning clients · unset to May 30, 2024 to Mar 30, 2025
- Other offices · 2 to 3May 30, 2024 to Mar 30, 2025
- Discretionary RAUM · $23B to $24BMay 30, 2024 to Mar 30, 2025
- HNW RAUM · $213M to $202MMay 30, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $12.0M to $188MMay 30, 2024 to Mar 30, 2025
- RAUM · $23B to $24BMay 30, 2024 to Mar 30, 2025
- Accounts · 753 to 769Mar 17, 2023 to Mar 26, 2024
- Advisory employees · 28 to 30Mar 17, 2023 to Mar 26, 2024
- HNW clients · 1 to 2Mar 17, 2023 to Mar 26, 2024
- Employees · 46 to 48Mar 17, 2023 to Mar 26, 2024
- Other offices · 0 to 2Mar 17, 2023 to Mar 26, 2024
- Discretionary RAUM · $22B to $23BMar 17, 2023 to Mar 26, 2024
- HNW RAUM · $226M to $213MMar 17, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $2.2B to $12.0MMar 17, 2023 to Mar 26, 2024
- RAUM · $24B to $23BMar 17, 2023 to Mar 26, 2024
- Accounts · 703 to 753Mar 22, 2022 to Mar 17, 2023
- Advisory employees · 29 to 28Mar 22, 2022 to Mar 17, 2023
- Employees · 49 to 46Mar 22, 2022 to Mar 17, 2023
- Discretionary RAUM · $26B to $22BMar 22, 2022 to Mar 17, 2023
- HNW RAUM · $304M to $226MMar 22, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $3.3B to $2.2BMar 22, 2022 to Mar 17, 2023
- RAUM · $29B to $24BMar 22, 2022 to Mar 17, 2023
- Accounts · 118 to 703Jun 24, 2021 to Mar 22, 2022
- Corporate clients · unset to 1.0Jun 24, 2021 to Mar 22, 2022
- Employees · 46 to 49Jun 24, 2021 to Mar 22, 2022
- Discretionary RAUM · $26B to $26BJun 24, 2021 to Mar 22, 2022
- HNW RAUM · $304M to $304MJun 24, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $1.5B to $3.3BJun 24, 2021 to Mar 22, 2022
- RAUM · $28B to $29BJun 24, 2021 to Mar 22, 2022
- Accounts · 117 to 118Sep 30, 2020 to Mar 30, 2021
- Advisory employees · 28 to 29Sep 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $26B to $26BSep 30, 2020 to Mar 30, 2021
Signals
12 dated events
- J. Timothy Senechalle (Chief Investment Officer) appeared on Schedule A of AamMay 30, 2024 · Control person joined · fact
- J Reed Nuttall (Chief Investment Officer) no longer on Schedule A of Aam (listed 2024-03-26, absent 2024-05-30)May 30, 2024 · Control person left · inference
- Louise Suzette Huovinen (Director) appeared on Schedule A of AamMar 26, 2024 · Control person joined · fact
- Dan Byrnes (Director) no longer on Schedule A of Aam (listed 2023-03-17, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- Gordon Robert Diedrich (Director) no longer on Schedule A of Aam (listed 2023-03-17, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- Subhash Siddharth Gandhi (Director) no longer on Schedule A of Aam (listed 2020-01-09, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- J. Timothy Senechalle (Director) no longer on Schedule A of Aam (listed 2020-01-09, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Dan Byrnes (Director) appeared on Schedule A of AamMar 31, 2020 · Control person joined · fact
- John Mark Steiger (Chief Compliance Officer) no longer on Schedule A of Aam (listed 2019-05-10, absent 2020-01-09)Jan 9, 2020 · Control person left · inference
- Lynn Chelsea Klassa (Chief Compliance Officer) appeared on Schedule A of AamJan 9, 2020 · Control person joined · fact
- Aam reported RAUM $24.7B, up 25% from $19.7B (2018-07-30 to 2019-03-22)Mar 22, 2019 · RAUM change · derived
- Anthony Marco Bravo (Managin Member) appeared on Schedule A of AamMar 22, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/aam_2reportedpublic record, Form ADV, Sep 17, 2026
- Website
- aamcompany.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-263-2900reportedpublic record, Form ADV, Mar 24, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Aam is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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