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
Advisors Asset Management, Inc.
Latest filing Aug 13, 2026
First filing on the tape Mar 27, 2012 · 46 filings
SEC status approved since Feb 6, 2004
RAUM
$2.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
32%
$700M individuals and HNW
Advisors
125
registered through the firm on IAPD
RAUM per advisor
$17.7M
derived; firm RAUM over IAPD count
Employees
255
42 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
1
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$2.2B as of Aug 13, 2026
Mar 27, 2012$386M then
HNW client RAUM$314M as of Aug 13, 2026
Mar 30, 2018$215M then
State-registered IARs (5.B.3)137 as of Aug 13, 2026
Mar 13, 2013169 then
Employees (5.A)255 as of Aug 13, 2026
Mar 13, 2013275 then
Private funds1 as of Aug 13, 2026
Mar 31, 20261 then
RAUM +13% over the last fiscal year-16% a year over threeIARs 144 to 137
Practice profile
derived from the filing of Aug 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $17.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 13.9derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -4.9%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is a broker-dealer (6.A.1)
- 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
- Investment companies$1.4B63%
- Individuals$386M17%
- High-net-worth individuals$314M14%
- Corporations and businesses$58.5M2.6%
- Pooled investment vehicles$44.6M2.0%
- Pension and profit-sharing plans$4.1M0.2%
- Charitable organizations$2.1M0.1%
- Individual clients
- 1,314reported
- HNW clients
- 125reported
- Pension plan clients
- 6reported
- Charitable clients
- 3reported
- Accounts
- 1,505reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $608M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.32 fund_share=0.65 institutional_share=0.0 related_bd=true related_bank=true bd_reps=198.0derived
Advisors registered through the firm
126 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Christopher Thomas Genovese | Melville, Ny | Oct 26, 2004 | 33 y | 0 |
| Suzanne Lynn Fletcher | Princeton, Nj | Oct 26, 2004 | 26 y | 0 |
| Matthew William Lloyd | Monument, Co | Dec 3, 2004 | 32 y | 0 |
| Seth Adam Franck | Monument, Co | Jun 2, 2005 | 24 y | 0 |
| Jeremiah Golden | Boerne, Tx | Jun 2, 2005 | 22 y | 0 |
| John Zoltan Szalay | Boerne, Tx | Jul 12, 2005 | 25 y | 0 |
| Lesley Rubino Costales | Boerne, Tx | Aug 1, 2006 | 26 y | 0 |
| Brian Wayne Gilbert | Monument, Co | Sep 25, 2006 | 37 y | 0 |
| Francesco Poggi Leigh | Princeton, Nj | Jan 3, 2007 | 19 y | 0 |
| Frank J Vidakovics | Monument, Co | Mar 6, 2007 | 23 y | 1 |
| Inger Margit Jansen | Hillsborough, Nc | Mar 21, 2007 | 27 y | 2 |
| Edward Anthony White | Boerne, Tx | May 17, 2007 | 19 y | 0 |
| Daniel Martin Swallow | Audubon, Nj | Jul 2, 2007 | 34 y | 2 |
| John Richard Devries | Philadelphia, Pa | Jul 3, 2007 | 32 y | 2 |
| Peter Joseph Catalano | Scottsdale, Az | Jul 16, 2007 | 29 y | 2 |
| Michael Thomas Landrum | Boerne, Tx | Sep 4, 2007 | 19 y | 0 |
| Kenneth Eshon Girdy | Boerne, Tx | Mar 17, 2008 | 22 y | 0 |
| Donald Osborn Hobart | Charlotte, Nc | Apr 16, 2008 | 33 y | 1 |
| Brian Henry Beyer | Boerne, Tx | May 28, 2008 | 19 y | 1 |
| Adam Davis Mayer | Princeton, Nj | Jun 30, 2008 | 27 y | 0 |
| Angelique Inez Alvarado | Boerne, Tx | Nov 19, 2008 | 27 y | 0 |
| Brandon S Hoyos | Princeton, Nj | Dec 17, 2008 | 19 y | 0 |
| Andrew Stuart Zimmerman | Boca Raton, Fl | Mar 11, 2009 | 21 y | 1 |
| David Ray Seibert | New York, Ny | Mar 31, 2009 | 25 y | 1 |
| John Bradley Ruebsahm | Boerne, Tx | Apr 24, 2009 | 21 y | 3 |
| George Cordell Easter | Princeton, Nj | Jul 21, 2009 | 20 y | 1 |
| Brad Ryan Brondsema | Lisle, Il | Oct 1, 2009 | 22 y | 1 |
| Timothy John Stoklosa | Princeton, Nj | Oct 21, 2009 | 17 y | 0 |
| Jacob Robert Johnston | Lisle, Il | Oct 26, 2009 | 18 y | 1 |
| David Terry Gingrich | Boerne, Tx | Jan 4, 2010 | 18 y | 0 |
| Mark B Cole | Charlotte, Nc | Jun 1, 2010 | 28 y | 1 |
| Jacobus Johannes Visser | Boerne, Tx | Aug 2, 2010 | 31 y | 0 |
| Jennifer Lynn Van Alstyne | Boerne, Tx | Sep 7, 2010 | 25 y | 1 |
| Lisa Mary Cobban | Sandwich, Ma | Jun 30, 2011 | 38 y | 0 |
| Tracy Monroe NolteChartered Financial Analyst | Boerne, Tx | Oct 18, 2011 | 30 y | 0 |
| Gregory Brian Clarkin | Princeton, Nj | Jan 8, 2013 | 24 y | 2 |
| Tomer Daniel Yabrov | Woodland Hills, Ca | Feb 13, 2013 | 26 y | 4 |
| Matthew Daniel Wilke | Princeton, Nj | Sep 3, 2013 | 20 y | 3 |
| Brad Schultheis | Monument, Co | Nov 6, 2013 | 21 y | 1 |
| Richard Shane Johnson | Princeton, Nj | Jan 23, 2014 | 24 y | 6 |
Advisor movement
14 left, 9 joined in 12 months
net -5 in 12 months3 left in 90 days3 joined in 90 daysdeparture rate 11% of current headcount31 left over 36 months
Left, latest
- Thomas P Higgins to RBC Capital Markets, LLCAug 7, 2026 · RIA to affiliated broker-dealer or bank
- Daric Hugh Olson to Pcm Encore, LLCJul 8, 2026 · RIA to RIA
- Hayes Patrick Griffin to Cetera Investment Advisers LLCJun 29, 2026 · RIA to affiliated broker-dealer or bank
- Terence Riordan Ward to Parnassus Investments, LLCJun 17, 2026 · Other
- Jonah Marcus Beauduy to Raymond James & Associates, Inc.Apr 13, 2026 · RIA to affiliated broker-dealer or bank
- Tonio Crudele to Zacks Investment Management, Inc.Mar 18, 2026 · RIA to RIA
- James Albert Tietze to Northern Capital Securities CorporationMar 3, 2026 · RIA to a state-registered adviser
- Jared Ross Fischer to Raymond James Financial Services Advisors, IncFeb 5, 2026 · RIA to affiliated broker-dealer or bank
- Dennis Alan Macdonald to Amplify EtfsFeb 5, 2026 · Other
- Thomas Leslie Sherwood to Swbc Investment CompanyJan 8, 2026 · RIA to RIA
- Philip Martini to J.P. Morgan Securities LLCDec 1, 2025 · RIA to wirehouse
- Steven John Majoris to Wells Fargo Investment Institute, Inc.Nov 11, 2025 · RIA to RIA
- Jason Benton Stewart to Atalanta Sosnoff Management, LLCOct 28, 2025 · Other
- Morgan Elizabeth Tedesco to Nuveen Asset Management, LLCOct 9, 2025 · RIA to RIA
- Charles R Miller to T. Rowe Price Associates, Inc.Aug 12, 2025 · Other
Joined, latest
- Jeffrey Paul Nizzardo from Wells Fargo AdvisorsSep 16, 2026 · Wirehouse to independent RIA
- John Bernard Hussey from Allianz Global Investors Managed Accounts LLCAug 12, 2026 · Other
- Kelli Rose Mesi from Bny Mellon Securities CorporationJun 22, 2026 · Other
- Noah Ross Shulman from Neuberger Berman Bd LLCJun 15, 2026 · Other
- Adrianne Stewart Potwora from Voya Investment Management Co. LLCMar 19, 2026 · Other
- Fabrizio Volpe Von Horoch from Iq Capital Strategy LLCDec 19, 2025 · Other
- Brady Nicholas Wahl from Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 5, 2025 · Wirehouse to independent RIA
- James Phillip Sluis from Columbia Management Investment Advisers, LLCSep 30, 2025 · Other
- Robert James Ciapciak from Neuberger Berman Bd LLCSep 23, 2025 · Other
- Jared Ross Fischer from Northwestern Mutual Investment Services,LLCSep 11, 2025 · Other
- Daric Hugh Olson from Mtc Wealth ManagementDec 9, 2024 · Other
- Dennis Alan Macdonald from Nomura Investment Management Business TrustDec 4, 2024 · Other
- Dwayne Javier from Thrivent Asset Management, LLCDec 3, 2024 · Other
- Lloyd Elbert Pegues from Guggenheim InvestmentsNov 4, 2024 · Other
- Dustin Kyle Truitt from Wells Fargo AdvisorsSep 3, 2024 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for Bahl & Gaynor LLCJun 30, 2023 · Princeton, Nj
- 2 left for J.P. Morgan Securities LLCFeb 16, 2016 · Boerne, Tx
- 2 left for Swbc Investment CompanyAug 18, 2015 · Boerne, Tx
- 2 joined from Invesco Advisers, Inc.May 30, 2019 · Downers Grove, Il
- 2 joined from UBS Financial Services Inc.Jul 31, 2018 · Weehawken, Nj
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Aam / Wilshire Infrastructure Fund LP | $44.6M | 100 | Aug 13, 2026 |
Owners and control persons
Schedule A and B, latest filing
- Lisa Anne Colyer · Exec. Vp/Directorcontrolsince 01/2008 · owns less than 5%
- Scott Irvin Colyer · Chairman/Chief Executive Officer/Directorcontrolsince 01/2008 · owns less than 5%
- Clifford Dean Corso · Chief Executive Officer/Chief Investment Officer/Directorcontrolsince 06/2021 · owns less than 5%
- Bart Patrick Daniel · Chief Technology Officer/Directorcontrolsince 03/2013 · owns less than 5%
- Marilee Ferone · Exec. Vpcontrolsince 12/2020 · owns less than 5%
- Christopher Thomas Genovese · Exec. Vp/Directorcontrolsince 01/2008 · owns less than 5%
- Brian Wayne Gilbert · Sr. Vpcontrolsince 10/2012 · owns less than 5%
- Matthew William Lloyd · Chief Investment Strategist/Exec. Vp/Directorcontrolsince 07/2015 · owns less than 5%
- Alex Robert Meitzner · Sr. Vpcontrolsince 01/2008 · owns less than 5%
- Jeffrey Kurtis Opie · Exec. Vp, Chief Financial Officercontrolsince 11/2016 · owns less than 5%
- Charles Edward Sickles · Exec. Vpcontrolsince 10/2018 · owns less than 5%
- Richard Alan Stewart · Exec. Vpcontrolsince 07/2015 · owns less than 5%
- Timothy John Stoklosa · Exec. Vp, Chief Operating Officercontrolsince 06/2018 · owns less than 5%
- John Edwin Webber · Svp, Chief Compliance Officer/Secretarycontrolsince 08/2011 · owns less than 5%
- Lisa Anne Colyer · Co-Manager Of Common Shareholdercontrolsince 12/2012 · owns F of S&Lc Family LLC
- Lisa Anne Colyer · Co-Trustee Of Member Of Common Shareholdercontrolsince 12/2012 · owns F of S&Lc Living Trust
- Scott Irvin Colyer · Co-Manager Of Common Shareholdercontrolsince 12/2012 · owns F of S&Lc Family LLC
- Scott Irvin Colyer · Co-Trustee Of Member Of Common Shareholdercontrolsince 12/2012 · owns F of S&Lc Living Trust
Entity owners
- Aam Holdings, Inc · Shareholderdirect · owns 75% or more
- J2kdls Irrevocable Trust · Member Of Common Shareholderindirect · owns 50% to 75% of S&Lc Family LLC
- S&Lc Family LLC · Common Shareholderindirect · owns 25% to 50% of Aam Holdings, Inc
- S&Lc Living Trust · Member Of Common Shareholderindirect · owns 25% to 50% of S&Lc Family LLC
- South Dakota Trust Company, LLC · Trustee Of Member Of Common Shareholderindirect · owns F of J2kdls Irrevocable Trust
- Sun Life (U.S.) Holdco 2020, Inc. · Shareholderindirect · owns 50% to 75% of Aam Holdings, Inc
- Sun Life 2007-1 Financing Corp. · Shareholderindirect · owns 75% or more of Sun Life Assurance Company Of Canada - U.S. Operations Holdings, Inc.
- Sun Life Assurance Company Of Canada - U.S. Operations Holdings, Inc. · Shareholderindirect · owns 75% or more of Sun Life (U.S.) Holdco 2020 Inc.
- Sun Life Financial Inc. · Shareholderindirect · owns 75% or more of Sun Life Global Investments Inc. · public reporting company
- Sun Life Global Investments Inc. · Shareholderindirect · owns 75% or more of Sun Life 2007-1 Financing Corp.
Related persons
Schedule D 7.A
- Bentallgreenoak (U.S.) Limited Partnershipinvestment advisernRAUM $24B
- Bentallgreenoak Real Estate US LLCbroker-dealern
- Bentallgreenoak Strategic Capital Partnersinvestment advisernRAUM $3.5B
- Bgo US Real Estate LPinvestment advisernRAUM $24B
- Crescent Cap Advisors, LLCinvestment advisernRAUM $1.8B
- Crescent Cap Nt Advisors, LLCinvestment advisernRAUM $1.1B
- Crescent Capital Group LPinvestment advisernRAUM $50B
- Crescent Capital Group LPinvestment advisernRAUM $50B
- Infrared Capital Partners (US) LLCinvestment advisernRAUM $2.4B
- Infrared Capital Partners Limitedinvestment advisernRAUM $14B
- Mfs Investment Managementinvestment adviserbanknRAUM $514B
- Mfs Fund Distributors, Inc.broker-dealern
- Mfs Institutional Advisors Inc.investment adviserbankpooled vehicle sponsornRAUM $114B
- Slc Managementinvestment adviserbankpooled vehicle sponsornRAUM $76B
- Sun Life Institutional Distributors (U.S.) LLCbroker-dealern
Advisers that list Advisors Asset Management, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Princeton, Nj | 52 | 5 | 1 | ||
| Boerne, Tx | 22 | 2 | 2 | ||
| Boca Raton, Fl | 17 | 4 | 2 | ||
| Monument, Co · principal | 8 | 0 | 0 | ||
| New York, Ny | 8 | 2 | 0 | ||
| Lisle, Il | 8 | 1 | 3 | ||
| Melville, Ny | 5 | 0 | 0 | ||
| Charlotte, Nc | 4 | 0 | 1 | ||
| Palatine, Il | 2 | 1 | 0 | ||
| Lutz, Fl | 2 | 0 | 0 | ||
| Wichita, Ks | 2 | 0 | 0 | ||
| San Diego, Ca | 1 | 0 | 1 | ||
| Chicago, Il | 1 | 0 | 0 | ||
| Nashville, Tn | 1 | 1 | 0 | ||
| The Colony, Tx | 0 | 0 | 0 | ||
| Vista, Ca | 0 | 0 | 1 | ||
| Dublin, Oh | 0 | 0 | 1 | ||
| Northlake, Tx | 0 | 0 | 0 | ||
| Glastonbury, Ct | 0 | 0 | 0 | ||
| Grand Rapids, Mi | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boerne, TX9 employees
- Princeton, NJ8 employees
- Wichita, KS6 employees
- Lisle, IL6 employees
- New York, NY5 employees
- Charlotte, NC3 employees
- Boca Raton, FL2 employees
- Melville, NY1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 13, 2026COLYER, LISA ANNE (EXEC. VP/DIRECTOR) left Schedule A between the filings of 2023-03-10 and 2026-08-13peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 13, 2026COLYER, SCOTT IRVIN (CHAIRMAN/CHIEF EXECUTIVE OFFICER/DIRECTOR) left Schedule A between the filings of 2023-03-10 and 2026-08-13peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,591 to 1,505Jun 27, 2025 to Mar 31, 2026
- Advisory employees · 51 to 42Jun 27, 2025 to Mar 31, 2026
- BD registered reps · 208 to 198Jun 27, 2025 to Mar 31, 2026
- Charity clients · 4 to 3Jun 27, 2025 to Mar 31, 2026
- Corporate clients · 50 to 45Jun 27, 2025 to Mar 31, 2026
- HNW clients · 123 to 125Jun 27, 2025 to Mar 31, 2026
- Individual clients · 1,399 to 1,314Jun 27, 2025 to Mar 31, 2026
- Pooled vehicle clients · 0 to 1Jun 27, 2025 to Mar 31, 2026
- Employees · 274 to 255Jun 27, 2025 to Mar 31, 2026
- State-registered IARs · 144 to 137Jun 27, 2025 to Mar 31, 2026
- Private funds · unset to 1Jun 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.0B to $2.2BJun 27, 2025 to Mar 31, 2026
- HNW RAUM · $322M to $314MJun 27, 2025 to Mar 31, 2026
- Individual RAUM · $401M to $386MJun 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.2M to $1.3MJun 27, 2025 to Mar 31, 2026
- Pension RAUM · $3.6M to $4.1MJun 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $0 to $44.6MJun 27, 2025 to Mar 31, 2026
- RAUM · $2.0B to $2.2BJun 27, 2025 to Mar 31, 2026
- Wrap assets (manager) · $587M to $608MJun 27, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Apr 30, 2025 to Jun 27, 2025
- Accounts · 1,767 to 1,591Jul 29, 2024 to Apr 30, 2025
- Advisory employees · 49 to 51Jul 29, 2024 to Apr 30, 2025
- BD registered reps · 205 to 208Jul 29, 2024 to Apr 30, 2025
- Charity clients · 2 to 4Jul 29, 2024 to Apr 30, 2025
- Corporate clients · 53 to 50Jul 29, 2024 to Apr 30, 2025
- HNW clients · 110 to 123Jul 29, 2024 to Apr 30, 2025
- Individual clients · 1,310 to 1,399Jul 29, 2024 to Apr 30, 2025
- Employees · 272 to 274Jul 29, 2024 to Apr 30, 2025
- Other offices · 9 to 8Jul 29, 2024 to Apr 30, 2025
- Discretionary RAUM · $3.8B to $2.0BJul 29, 2024 to Apr 30, 2025
- HNW RAUM · $268M to $322MJul 29, 2024 to Apr 30, 2025
- Individual RAUM · $365M to $401MJul 29, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $3.9M to $1.2MJul 29, 2024 to Apr 30, 2025
- Pension RAUM · $3.1M to $3.6MJul 29, 2024 to Apr 30, 2025
- RAUM · $3.9B to $2.0BJul 29, 2024 to Apr 30, 2025
- Wrap assets (manager) · $588M to $587MJul 29, 2024 to Apr 30, 2025
- Accounts · 1,634 to 1,767Jun 30, 2023 to Mar 28, 2024
- Advisory employees · 48 to 49Jun 30, 2023 to Mar 28, 2024
- BD registered reps · 187 to 205Jun 30, 2023 to Mar 28, 2024
- Corporate clients · 48 to 53Jun 30, 2023 to Mar 28, 2024
Signals
60 dated events
- Jeffrey Paul Nizzardo registered as an investment adviser representative at Advisors Asset Management, Inc.Sep 16, 2026 · Advisor registered · fact
- Thomas P Higgins left Advisors Asset Management, Inc. for Rbc Capital Markets, Llc (registered 2026-08-06)Aug 7, 2026 · Advisor changed firm · fact
- Daric Hugh Olson left Advisors Asset Management, Inc. for Pcm Encore, Llc (registered 2026-09-10)Jul 8, 2026 · Advisor changed firm · fact
- Hayes Patrick Griffin left Advisors Asset Management, Inc. for Cetera Investment Advisers Llc (registered 2026-07-13)Jun 29, 2026 · Advisor changed firm · fact
- Terence Riordan Ward left Advisors Asset Management, Inc. for Parnassus Investments, Llc (registered 2026-07-16)Jun 17, 2026 · Advisor changed firm · fact
- Jonah Marcus Beauduy left Advisors Asset Management, Inc. for Raymond James & Associates, Inc. (registered 2026-04-22)Apr 13, 2026 · Advisor changed firm · fact
- Tonio Crudele left Advisors Asset Management, Inc. for Zacks Investment Management, Inc. (registered 2026-03-26)Mar 18, 2026 · Advisor changed firm · fact
- James Albert Tietze left Advisors Asset Management, Inc. for Northern Capital Securities Corporation (registered 2026-03-16)Mar 3, 2026 · Advisor changed firm · fact
- Dennis Alan Macdonald left Advisors Asset Management, Inc. for Amplify Etfs (registered 2026-08-10)Feb 5, 2026 · Advisor changed firm · fact
- Jared Ross Fischer left Advisors Asset Management, Inc. for Raymond James Financial Services Advisors, Inc (registered 2026-02-12)Feb 5, 2026 · Advisor changed firm · fact
- Thomas Leslie Sherwood left Advisors Asset Management, Inc. for Swbc Investment Company (registered 2026-01-06)Jan 8, 2026 · Advisor changed firm · fact
- Philip Martini left Advisors Asset Management, Inc. for J.P. Morgan Securities Llc (registered 2025-12-17)Dec 1, 2025 · Advisor changed firm · fact
- Steven John Majoris left Advisors Asset Management, Inc. for Wells Fargo Investment Institute, Inc. (registered 2025-11-17)Nov 11, 2025 · Advisor changed firm · fact
- Jason Benton Stewart left Advisors Asset Management, Inc. for Atalanta Sosnoff Management, Llc (registered 2026-03-24)Oct 28, 2025 · Advisor changed firm · fact
- Morgan Elizabeth Tedesco left Advisors Asset Management, Inc. for Nuveen Asset Management, Llc (registered 2025-10-16)Oct 9, 2025 · Advisor changed firm · fact
- Charles R Miller left Advisors Asset Management, Inc. for T. Rowe Price Associates, Inc. (registered 2026-02-06)Aug 12, 2025 · Advisor changed firm · fact
- Kenneth Troy Evans left Advisors Asset Management, Inc. for Raymond James Investment Management (registered 2025-09-05)Jul 29, 2025 · Advisor changed firm · fact
- Michael Day left Advisors Asset Management, Inc. for Touchstone Advisors Inc (registered 2025-07-02)Jun 9, 2025 · Advisor changed firm · fact
- Advisors Asset Management, Inc. reported RAUM $2.0B, down 49% from $3.9B (2024-07-29 to 2025-04-30)Apr 30, 2025 · RAUM change · derived
- Steven Erwin Flewelling left Advisors Asset Management, Inc. for Cumberland Advisors (registered 2025-09-24)Apr 4, 2025 · Advisor changed firm · fact
- David T. Kuzia left Advisors Asset Management, Inc. for Raymond James Investment Management (registered 2025-06-06)Apr 4, 2025 · Advisor changed firm · fact
- Christopher Robert Dewlen left Advisors Asset Management, Inc. for Swbc Investment Company (registered 2025-09-09)Apr 4, 2025 · Advisor changed firm · fact
- Brandon Locke Daniels left Advisors Asset Management, Inc. for Victory Capital Management Inc. (registered 2025-10-02)Apr 4, 2025 · Advisor changed firm · fact
- Ami Vastupal Shah left Advisors Asset Management, Inc. for Sterling Capital Management Llc (registered 2025-05-07)Mar 20, 2025 · Advisor changed firm · fact
- Jose Dejesus Cervantes left Advisors Asset Management, Inc. for Easterly Investment Partners Llc (registered 2026-04-16)Mar 20, 2025 · Advisor changed firm · fact
- Derek William Januario left Advisors Asset Management, Inc. for Amplify Etfs (registered 2026-08-04)Nov 19, 2024 · Advisor changed firm · fact
- Richard G Jaeger left Advisors Asset Management, Inc. for Guggenheim Investments (registered 2024-11-07)Sep 9, 2024 · Advisor changed firm · fact
- Jason Bruce Hagemann left Advisors Asset Management, Inc. for Avantax Advisory Services (registered 2024-07-31)Aug 5, 2024 · Advisor changed firm · fact
- Robert John Kruse left Advisors Asset Management, Inc. for Lpl Financial Llc (registered 2024-10-29)Aug 5, 2024 · Advisor changed firm · fact
- James Robert Costas (Exec. Vp/Director) no longer on Schedule A of Advisors Asset Management, Inc. (listed 2024-05-21, absent 2024-07-29)Jul 29, 2024 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Advisors Asset Management, Inc. · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/advisors-asset-management-inc-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- wistia.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 719-488-9956reportedpublic record, Form ADV, Aug 13, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $17.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026