13F-HR filed by Advisors Asset Management, Inc.
Advisors Asset Management, Inc. filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 1,577 holding rows worth $5,429,657,000.
- Accession
- 0000891092-19-012387
- Filer
- CIK 1297376
- Filed
- 2019-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A combination report, 1,577 entries on the cover page, a total value of $5,429,657,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $5,429,657,000 with VALUE read as thousands by filing date, 13F file number 028-12578. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- reports for this filerBAHL & GAYNOR INC028-02825
- reports for this filerVident Investment Advisory, LLC028-16741
- reports for this filerHARTFORD INVESTMENT MANAGEMENT CO028-06652
- reports for this filerPhocas Financial Corp.028-12179
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| TENNECO INC | 880349105 | COM | 1,217 | $15,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 181 | $14,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 172 | $14,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 373 | $13,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 368 | $13,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 320 | $13,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 533 | $13,000 | thousands by filing date | |
| COHERENT INC | 192479103 | COM | 87 | $13,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 305 | $12,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 270 | $12,000 | thousands by filing date | |
| PERSPECTA INC | 715347100 | COM | 460 | $12,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 696 | $11,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 122 | $10,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 312 | $10,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 2,148 | $10,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 485 | $9,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 144 | $9,000 | thousands by filing date | |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 125 | $8,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 125 | $8,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 179 | $8,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 862 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 52 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 297 | $5,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 1,795 | $5,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 229 | $5,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 231 | $5,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 87 | $4,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 97 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138g805 | TAXABLE MUN BD | 137 | $4,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 39 | $4,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 411 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 124 | $3,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V399 | S&P500 BUY WRT | 136 | $3,000 | thousands by filing date | |
| BOTTOMLINE TECH INC DEL | 101388106 | COM | 81 | $3,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 76 | $3,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 47 | $3,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 18 | $2,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 43 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 81 | $2,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 108 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 15 | $2,000 | thousands by filing date | |
| Invesco KBW Premium Yield | 46138E594 | KBW PREM YIELD | 56 | $2,000 | thousands by filing date | |
| AVANOS MED INC | 05350V106 | COM | 59 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 76 | $2,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 103 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 206 | $2,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 12 | $1,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 19 | $1,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 26 | $1,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 26 | $1,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 10 | $1,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC NEW COM | 84790A105 | Stock | 10 | $1,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 7 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 31 | $1,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 34 | $1,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 18 | $1,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 25 | $1,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 10 | $1,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 17 | $1,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 80 | $1,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 9 | $1,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 22 | $1,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ADMA BIOLOGICS INC | 000899104 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Mallinckrodt Plc | G5785G107 | SHS | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 65 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SUNOPTA INC | 8676EP108 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| INTREPID POTASH INC | 46121Y102 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000891092-19-012387 | this filing | 2019-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001999371-26-018142 | base | 2026-08-18 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001999371-26-018143 | added | 2026-08-18 | acceptance time not in the bulk data set |