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Institutional Investment Manager
Advisors Asset Management, Inc.
Advisors Asset Management, Inc. (CIK: 0001297376) incorporated in Delaware, located at 18925 Base Camp Road, Monument, CO. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q3)
Portfolio Summary: 1,837 holdings with a total value of $6,097,163,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 AMERICAN INTL GROUP INC 61 1,000 0.00%
2 CALERES INC COM 34 1,000 0.00%
3 REPLIGEN CORP COM 26 1,000 0.00%
4 WABCO 9 1,000 0.00%
5 US Ecology Inc 22 1,000 0.00%
6 PRA GROUP INC 17 1,000 0.00%
7 PENN NATL GAMING INC 58 1,000 0.00%
8 KORN FERRY COM NEW 31 1,000 0.00%
9 ENCORE CAP GROUP INC COM 25 1,000 0.00%
10 ADVISORSHARES TR 65 2,000 0.00%
11 SPDR FTSE SP OILGAS EXP ETF 65 2,000 0.00%
12 TAKE-TWO INTERACTIVE SOFTWARE COM 38 2,000 0.00%
13 SPDR SERIES TRUST 65 2,000 0.00%
14 SMITH & WESSON HLDG CORP 65 2,000 0.00%
15 FOSSIL GROUP INC 100 3,000 0.00%
16 M D C HLDGS INC COM 97 3,000 0.00%
17 AVIS BUDGET GROUP 100 3,000 0.00%
18 VANECK VECTORS ETF TR 95 3,000 0.00%
19 SPDR SER TR 135 4,000 0.00%
20 ISHARES 75 4,000 0.00%
21 VANECK VECTORS ETF TR 175 4,000 0.00%
22 PIMCO ETF TR 35 4,000 0.00%
23 PUTNAM PREMIER INCOME TR 784 4,000 0.00%
24 iShares Mortgage Real Estate C 350 4,000 0.00%
25 PUTNAM MASTER INTER INCOME T 859 4,000 0.00%
26 POWERSHARES BUILD AMERICA BOND PORTFOLIO ETF 130 4,000 0.00%
27 VANECK VECTORS ETF TR 155 4,000 0.00%
28 UBS AG JERSEY BRH 240 5,000 0.00%
29 ISHARES TR 68 5,000 0.00%
30 MFS INTERMEDIATE HIGH INC FD 2,488 6,000 0.00%
31 TUESDAY MORNING CORP 1,354 8,000 0.00%
32 APTEVO THERAPEUTICS INC COM 3,786 10,000 0.00%
33 BANCO SANTANDER SA ADR SPONSORED 2,376 10,000 0.00%
34 QUORUM HEALTH CORP 1,682 11,000 0.00%
35 ISHARES RUSSELL 2000 VALUE ETF 109 11,000 0.00%
36 FREIGHTCAR AMERICA INC 758 11,000 0.00%
37 CALIFORNIA RESOURCES 1,065 13,000 0.00%
38 OWENS-ILLINOIS, INC. 700 13,000 0.00%
39 Deutsche Global High Income 1,596 13,000 0.00%
40 URBAN OUTFITTERS INC COM 400 14,000 0.00%
41 AUTONATION 300 15,000 0.00%
42 CREDIT SUISSE ASSET MGMT INC 5,031 16,000 0.00%
43 ISHARES TR 131 16,000 0.00%
44 Tootsie Roll Industries Inc 470 17,000 0.00%
45 LEGG MASON INC 500 17,000 0.00%
46 TRANSOCEAN LTD 1,600 17,000 0.00%
47 CHESAPEAKE ENERGY CORP 2,800 18,000 0.00%
48 G III APPAREL GROUP LTD COM 626 18,000 0.00%
49 DEUTSCHE HIGH INCOME TR 2,053 19,000 0.00%
50 NUVEEN PFD INCOME OPPORTUN 1,919 19,000 0.00%
Page 1 of 37

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001013228-16-005428, filed 2016.10.31).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.