Advisors Asset Management, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
131
0% high-net worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
131
Very HighAverage account size
$0
About
The firm works primarily with individual and retirement‑age clients, offering financial planning and consulting and referring investment management to third‑party money managers. It also facilitates insurance and annuity products through an affiliated insurance practice and delivers standard disclosure documents and planning work on an hourly basis.
Rather than providing direct, discretionary portfolio management or charging its own percentage‑of‑assets fees, the firm acts as a liaison to third‑party managers who custody assets and bill clients under their fee schedules; the advisory firm receives referral fees and provides ongoing client support and paperwork assistance. The firm does not execute client trades or vote proxies itself, and account statements are provided directly by custodians or the third‑party managers.
Notable distinctions include a close affiliation with an insurance business in which the principal devotes most of her time and receives commission compensation, a relationship the brochure identifies as a potential conflict mitigated by disclosures and fiduciary procedures. The firm’s Form ADV also discloses two 2017 consent orders with state insurance regulators related to an annuity suitability issue and a licensing disclosure oversight, information prospective clients should weigh alongside the firm’s model of using external money managers.
Client services
Selection of other advisers
Expertise
Annuities
Fee options
$0+: 2.00% annually (Strategic Portfolios) $0+: 1.80% annually (Tactical Portfolios) $0+: 1.70% annually (Allocation & Defined Outcome Portfolios) $0+: 1.00% annually (Preservation Portfolios) $0+: 1.50% annually (Private Wealth Portfolios)
Commissions received from insurance product sales
Financial planning services at $300 per hour
Fee-only: Hourly financial planning fee of $300 per hour
Main office location
Advisors Asset Management, Inc.
4301 S Pine St., Suite 628
Tacoma WA 98409, United States
Number of offices
1
Most active in
Advisors Asset Management, Inc. has reported serving >5 clients in these states in the last 12 months.
Washington
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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