Advisors Asset Management, Inc.

Q3 2021 13F-HR/A Holdings

Location
Monument, CO
Holdings as of
9/30/2021
Date filed
8/27/2026
Form type
13F-HR/A - RESTATEMENT
Num holdings
1,463
Total value ($000)
$6,576,592
Net value change ($000)
-545,852 (-7.7%)
New positions
118
Sold out positions
56
Turnover %
2.0%
Sector allocation + QoQ delta (equities-only)
Prev filing: 8/26/2026 Next filing: 8/27/2026 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)
PFG -47,379 -94.4%
AMZN -19,034 -7.4%
PYPL -17,506 -14.5%
MSFT -17,393 -7.4%
META -14,936 -7.9%
RNP -14,857 -73.8%
USA -14,662 -65.6%
RVT -14,578 -50.8%
CHW -14,464 -73.2%
NXG -14,096 -74.2%
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