Advisors Asset Management, Inc.

Q3 2019 13F-HR/A Holdings

Location
Monument, CO
Holdings as of
9/30/2019
Date filed
8/18/2026
Form type
13F-HR/A - RESTATEMENT
Num holdings
1,584
Total value ($000)
$5,430,125
Net value change ($000)
-184,805 (-3.3%)
New positions
84
Sold out positions
57
Turnover %
1.1%
Sector allocation + QoQ delta (equities-only)
Prev filing: 8/18/2026 Next filing: 5/20/2020 SEC filing

Snapshot: Change Analysis

Compared to Q2 2019
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)
AAPL 13,589 16.0%
GOOGL 13,057 16.2%
MSFT 8,895 6.6%
LHX 7,611 NEW
NEE 6,761 23.3%
HD 6,712 15.3%
WDC 6,661 45.9%
TXN 5,985 22.1%
MDT 5,827 21.9%
CVS 5,070 43.1%
Top Reduces (Value $000, Stocks/ETFs)
MA -55,356 -47.7%
PFE -11,545 -23.4%
AMZN -11,145 -8.6%
MRK -10,917 -31.7%
WMB -7,554 -36.2%
XRX -7,287 -53.5%
ZTR -6,973 -48.1%
CCOI -6,875 -29.5%
CVI -6,561 -24.0%
CSCO -6,349 -15.1%
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