# Advisors Asset Management, Inc.

> Advisors Asset Management, Inc. is a state-registered investment advisory firm in Tacoma, WA, registered since 2017, with no regulatory assets under management reported in its Form ADV filing dated April 28, 2026.

- CRD: 285455
- Filed as: ADVISORS ASSET MANAGEMENT, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Tacoma, WA
- Filing period: October 2026
- Form ADV filing dated: April 28, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/285455
- AdvisorCensus page: https://advisorcensus.com/firm/advisors-asset-management-inc-tacoma-wa-285455

## Quick answers

**How is Advisors Asset Management, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Advisors Asset Management, Inc. reports these compensation arrangements: hourly charges; other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Advisors Asset Management, Inc. located?**
Advisors Asset Management, Inc.'s principal office is in Tacoma, WA, according to its Form ADV.

**Is Advisors Asset Management, Inc. registered with the SEC or a state?**
Advisors Asset Management, Inc. is a state-registered investment advisory firm, registered since 2017. Status as filed: APPROVED. CRD 285455.

**Does Advisors Asset Management, Inc. report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/285455

## From the Form ADV filing

### Compensation (Item 5.E)
- Hourly charges
- Other

### Advisory services (Item 5.G)
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2017 (9 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: WA
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/285455

### Websites listed on Form ADV (Item 1.I)
- seniorretirementadvisor.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Advisors Asset Management, Inc. (CRD 285455): Form ADV filing data as of October 2026.