Advisors Asset Management, Inc.

Q3 2021 13F-HR Holdings

Location
Monument, CO
Holdings as of
9/30/2021
Date filed
11/12/2021
Form type
13F-HR
Num holdings
1,463
Total value ($000)
$6,576,309
Net value change ($000)
-203,106 (-3.0%)
New positions
118
Sold out positions
56
Turnover %
2.0%
Sector allocation + QoQ delta (equities-only)
Prev filing: 7/30/2021 Next filing: 2/15/2022 SEC filing

Snapshot: Change Analysis

Compared to Q2 2021
Methodology: sector metrics are equities-only; instrument mix chart is ex-options; options exposure is shown separately. Why this matters.
Top Adds (Value $000, Stocks/ETFs)
RTX 13,258 NEW
XYZ 9,335 62.3%
TGT 8,920 NEW
GLO 8,590 NEW
PWR 7,537 NEW
SHOP 7,168 23.9%
EW 6,411 NEW
FTNT 6,313 NEW
Kayne Anderson NextGen Energy & Infrastructure, Inc. 6,118 NEW
MRK 5,213 11.6%
Top Reduces (Value $000, Stocks/ETFs)
AMZN -19,034 -7.4%
PYPL -17,506 -14.5%
MSFT -17,393 -7.4%
META -14,936 -7.9%
V -11,708 -9.3%
FDX -9,650 -20.8%
CMCSA -8,621 -12.5%
JNJ -8,129 -24.6%
MA -7,447 -7.4%
ACN -7,056 -62.6%
Instrument mix + QoQ Δ (ex-options)
How this table is calculated: SEC VALUE ($000) is used as reported. For derivatives (PUT/CALL/WARRANT/RIGHT), SEC value represents reported underlying exposure, not premium cash paid/received. Column % is bucket-based: non-options share is calculated inside non-option total, options share is calculated inside options total. Details.
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Instrument:
Issuer Name Ticker Sector Industry Class History Value ($000) % Shares Shares Δ Shares Δ% Value Δ ($000) Value Δ% Principal Option Type