Advisors Asset Management, Inc.

Q1 2021 13F-HR/A Holdings

Location
Monument, CO
Holdings as of
3/31/2021
Date filed
8/26/2026
Form type
13F-HR/A - RESTATEMENT
Num holdings
1,480
Total value ($000)
$6,432,359
Net value change ($000)
+98,173 (1.5%)
New positions
66
Sold out positions
96
Turnover %
3.8%
Sector allocation + QoQ delta (equities-only)
Prev filing: 8/26/2026 Next filing: 8/26/2026 SEC filing

Snapshot: Change Analysis

Compared to Q4 2020
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)
GOOGL 25,902 15.6%
NFJ 20,060 NEW
NIE 19,784 NEW
ACV 14,689 NEW
LUMN 13,119 NEW
META 10,145 6.3%
TNL 9,587 NEW
JPM 9,452 17.2%
NCZ 9,361 NEW
CVX 9,252 27.2%
Top Reduces (Value $000, Stocks/ETFs)
PFG -36,653 -90.7%
AAPL -28,464 -12.4%
NFJ -28,421 -100.0%
ALLIANZGI DIVERSIFIED INCOME -25,892 -100.0%
AMZN -20,496 -7.8%
NIE -20,232 -100.0%
GLQ -12,063 -68.3%
BCV -11,986 -46.2%
FAX -11,573 -82.3%
EOD -11,482 -76.1%
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