SourcingSourcing

ADVISORS ASSET MANAGEMENT, INC.

C42
CRD 46727·SEC 801-62731·MONUMENT, CO
AUM
$2.21B
$1B+
Est. Revenue
$22.1M
@ 1% on AUM
Est. EBITDA
$6.6M
@ 30% margin
Est. Deal Value
$53.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ADVISORS ASSET MANAGEMENT, INC.
CRD
46727
SEC file #
801-62731
EIN
000000000
DBA names
—

Economics

AUM
$2.21B
AUM band
$1B+
AUM trajectory
'20'26
$1.61B → $2.21B▲ +37%
Client mix
Individuals Other1,314
Individuals High Net Worth125
Corporations45
Investment Companies11
Pension Profit Sharing Plans6

Operations

Employees (total)
255
Advisory staff (per ADV)
42
Advisory staff (5-yr trend)
'20'26
48 advisors → 42 advisors▼ -12%
Primary office
MONUMENT CO
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — businessesOther Advisory Services
Fee basis
% of AUM

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
aamlive.com

Compliance

Disclosures (firm)
5
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
AAM HOLDINGS, INC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
13
Control Persons
AAM HOLDINGS, INC
CORSO, CLIFFORD DEAN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
AAMLIVE.COM
Rdap Domain Creation Date
2010-02-01T22:44:55Z
Rdap Firm Age Years
16
Rdap Firm Age Band
10-20y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
2
Form 5500 Total Participants
590
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20242
Schedule C Service Provider Rows
2

SEC EDGAR

Edgar Cik
0001297376
Edgar Registered
Yes
Edgar Filing Count
428
Edgar First Filing Date
2004-04-29
Edgar Last Filing Date
2026-05-15
Edgar 13f Count
83
Edgar 13f Latest AUM Estimate
Filing Date2026-05-15
Accession0002000324-26-001941
Edgar Former Names
Fixed Income Securities, Inc.
Fixed Income Securities LP

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.4934
Soi Zip Pct 200k Plus
0.2139
Soi Zip Returns 200k Plus
3,070
Soi Zip Total AGI
2,032,646
Fdic Zip Total Deposits
8,672,101,000
Fdic Zip Branch Count
181
Fdic Zip Top Banks
Wells Fargo Bank, National Association
Integrity Bank & Trust

Compliance & brand

Firm Registration Status
active

All other collected signals (26)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
50
Bc Firm Active IA Count
30
Bc Firm IAR Count
50
Custodian Candidates
Full
Pershing9
Charles Schwab6
Lpl Financial4
E*trade4
Fidelity2
Edgar Addresses
Mailing
18925 BASE CAMP ROADMONUMENT, CO 80132
Business
18925 BASE CAMP ROADMONUMENT, CO 80132
Edgar EIN
000000000
Edgar Recent Filings
13F-HR2026-05-15 · 0002000324-26-001941
SCHEDULE 13G/A2026-05-11 · 0001999371-26-010408
Fdic Zip Branches Raw
Peoples National BankMonument, CO
Peoples National BankMonument, CO
Fdic Zip HHI
1813.7
Fdic Zip Top Bank Share Pct
31.4
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-02-01T22:44:55Z
Rdap Domain Last Changed
2021-12-07T22:03:13Z
Rdap Nameservers
Ns1-02.azure-dns.comNs2-02.azure-dns.netNs3-02.azure-dns.orgNs4-02.azure-dns.info
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI31,951
Returns2,970
Stub 2
AGI63,481
Returns1,730
Stub 3
AGI83,108
Returns1,340
Soi Zip Total Business Income
61,239
Soi Zip Total Cap Gains
142,638
Soi Zip Total Dividends
47,454
Soi Zip Total Returns
14,350
Trust Company Affiliate
Yes

People (55)

55
STOKLOSA, TIMOTHY JOHN
IAR · Executive Officer · 2.5%
4897959
DANIEL, BART PATRICK
IAR · Executive Officer · 2.5%
4263841
LLOYD, MATTHEW WILLIAM
IAR · Executive Officer · 2.5%
2460808
STEWART, RICHARD ALAN
IAR · Executive Officer · 2.5%
1653343
OPIE, JEFFREY KURTIS
IAR · Executive Officer · 2.5%
5763807
GILBERT, BRIAN WAYNE
IAR · Executive Officer · 2.5%
1857325
MEITZNER, ALEX ROBERT
IAR · Executive Officer · 2.5%
1964373
Clifford Dean Corso
Executive Officer · 2.5%
2477519
MARILEE FERONE
Executive Officer · 2.5%
1450526
CHRISTOPHER THOMAS GENOVESE
Executive Officer · 2.5%
2255451
CHARLES EDWARD SICKLES
Executive Officer · 2.5%
2097390
JOHN EDWIN WEBBER
Executive Officer · 2.5%
5169415
JACOB ROBERT JOHNSTON
IAR
5408783
SHANE PATRICK BRENNAN
IAR
5870870
Thomas Michael DeMeritt
IAR
5014738
SONJA DEVON REED
IAR
4226012
JACOBUS JOHANNES VISSER
IAR
2549405
DANIEL MARTIN SWALLOW
IAR
2192847
MICHAEL L MEACHAM
IAR
2274949
INGER MARGIT JANSEN
IAR
2085119
PHILIP FRANCIS MARINELLO
IAR
2695102
Lucinda Inez Uvalle
IAR
7469809
DAVID SCOTT AHERN
IAR
2792588
Steven Conn
IAR
3124141
CHARLES WILLIAM FARRELL
IAR
6009707
ROY GEORGE STEINHILBER
IAR
1595458
LESLEY RUBINO COSTALES
IAR
4042774
LINDA MAY NORTH
IAR
2558621
Paul Anthony Bukowski
IAR
7895771
JOSHUA GARTH DUFORD
IAR
4792481
DERRIE DEAN WADE
IAR
4588710
RENITA LYNN WHITMIRE
IAR
2154146
CHRISTOPHER RYAN THOMPSON
IAR
5335451
JUSTIN DONALD GROW
IAR
4038268
April Erin Bailey
IAR
4679810
Connor Alexander Huth
IAR
7800199
CRISTIN DILLON HENDERSON
IAR
4792480
DANA MARIE DISTEFANO
IAR
5091412
SETH ADAM FRANCK
IAR
4266959
CHRISTINE MARY MARESCO
IAR
4862285
RICKALLEN RYCKEWAERT
IAR
5994076
NATHAN ROGER BURCHFIELD
IAR
5583956
Antone Jonathan Klecha
IAR
6777469
BRAD SCHULTHEIS
IAR
4835709
SHELLEY D SMITH
IAR
4544460
STERLING CHARLES BOIS COLYER
IAR
5547551
BRANDON S HOYOS
IAR
5156053
LISA ANNE COLYER
IAR
1214637
GINA LYNNE ROGERS
IAR
6527562
FRANCESCO POGGI LEIGH
IAR
5247899
GREGORY BRIAN CLARKIN
IAR
4505571
KENNETH J DOUGHERTY
IAR
2052474
TIMOTHY RANDOLPH BOECKER
IAR
3099959
Jonathan Bruce Ladenheim
IAR
7565751
Fernando Henrique Ciocchi de Almeida e Melo
IAR
7616594