Advisors Asset Management, Inc.

Q3 2021 13F-HR Detailed 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)

Holdings broken out by other managers reported in the original SEC filing. View aggregated holdings

Prev filing: 7/30/2021 Next filing: 2/15/2022 SEC filing
You are on the SEC detailed breakdown page. Rows are shown as reported in the filing (including other manager, discretion, and voting authority fields), and are not merged like the standard holdings view. Switch to aggregated holdings.

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 Discretion Other Manager Sole Shared None