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AAM

Advisors Asset Management Portfolio holdings

AUM $6.56B
1-Year Est. Return 35.09%
This Fund
S&P 500
This Quarter Est. Return
+2.8%
1 Year Est. Return
+35.09%
3 Year Est. Return
+91.77%
5 Year Est. Return
+96.62%
10 Year Est. Return
+331.33%
AUM
$5.63B
AUM Growth
+$340M
Cap. Flow
+$246M
Cap. Flow %
4.36%
Top 10 Hldgs %
8.82%
Holding
1,849
New
84
Increased
766
Reduced
809
Closed
97

Top Buys

Rank Stock Value
1
DD icon
DuPont de Nemours
DD
+$7.66M
2
FCX icon
Freeport-McMoran
FCX
+$7.29M
3
SIX
Six Flags Entertainment Corp.
SIX
+$7.23M
4
CY
Cypress Semiconductor
CY
+$7.06M
5
NEM icon
Newmont
NEM
+$6.96M

Top Sells

Rank Stock Value
1
WIN
Windstream Holdings Inc
WIN
+$28.7M
2
DLX icon
Deluxe
DLX
+$6.56M
3
BMY icon
Bristol-Myers Squibb
BMY
+$6.37M
4
AVP
Avon Products, Inc.
AVP
+$6.34M
5
LEG
Leggett & Platt
LEG
+$6.01M

Sector Composition

Rank Sector Weight
1 Miscellaneous 26.94%
2 Financials 11.2%
3 Energy 9.29%
4 Industrials 7.43%
5 Healthcare 7.27%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TBRG
1801
DELISTED
TruBridge
TBRG
– –
-74
Closed -$4K
BCPC
1802
Balchem Corp
BCPC
$5.37B
– –
-314
Closed -$14K
KSM
1803
DELISTED
DWS Strategic Municipal Income Trust
KSM
– –
-21,218
Closed -$290K
VIVO
1804
DELISTED
Meridian Bioscience Inc
VIVO
– –
-374
Closed -$8K
TTM
1805
DELISTED
Tata Motors Limited
TTM
– –
-2,763
Closed -$65K
RAVN
1806
DELISTED
Raven Industries Inc
RAVN
– –
-259
Closed -$8K
IBKC
1807
DELISTED
IBERIABANK Corp
IBKC
– –
-84
Closed -$5K
PES
1808
DELISTED
Pioneer Energy Services Corp.
PES
– –
-5,148
Closed -$34K
BKS
1809
DELISTED
Barnes & Noble
BKS
– –
-1,831
Closed -$19K
GM.WS.B
1810
DELISTED
General Motors Company
GM.WS.B
– –
-1
Closed –
SYNT
1811
DELISTED
Syntel Inc
SYNT
– –
-346
Closed -$11K
ALOG
1812
DELISTED
Analogic Corp
ALOG
– –
-80
Closed -$6K
NRCIB
1813
DELISTED
National Research Corp Class B
NRCIB
– –
-103
Closed -$4K
LDR
1814
DELISTED
Landauer Inc
LDR
– –
-69
Closed -$3K
EPIQ
1815
DELISTED
EPIQ SYSTEMS INC
EPIQ
– –
-471
Closed -$6K
ASEI
1816
DELISTED
AMER SCIENCE & ENGR INC.
ASEI
– –
-100
Closed -$6K
NQM
1817
DELISTED
NUVEEN INVESTMENT QLTY MUNI FD
NQM
– –
-18,704
Closed -$267K
NKA
1818
DELISTED
NISKA GAS STORAGE PARTNERS LLC UNIT LTD LIABILITY CO INTS
NKA
– –
-24,857
Closed -$371K
GM.WS.A
1819
DELISTED
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
– –
-1
Closed –
BCS.PRC
1820
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
– –
-53,296
Closed -$1.35M
ISH
1821
DELISTED
INTL SHIPHOLDING CORP
ISH
– –
-17,121
Closed -$399K
WX
1822
DELISTED
WUXI PHARMATECH, CAYMAN INC REPSTG 8 ORD SHS
WX
– –
-4,677
Closed -$98K
MCRL
1823
DELISTED
MICREL INC
MCRL
– –
-472
Closed -$5K
IGTE
1824
DELISTED
IGATE CORPORATION
IGTE
– –
-293
Closed -$5K
ENTR
1825
DELISTED
ENTROPIC COMMUNICATIONS INC COM STK (DE)
ENTR
– –
-2,369
Closed -$10K
70 71 72
73
74

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EB
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KGA
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WHRC
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AWA
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SWP
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Advisors Asset Management's Q3 2013 Portfolio in Review

As of Q3 2013, Advisors Asset Management held 1,849 positions worth $5.63B, up 6.4% from $5.29B the previous quarter. Its ten largest holdings account for 8.8% of the portfolio.

Advisors Asset Management deployed $246M of net new capital in Q3 2013, opening 84 new positions and adding to 766 existing holdings. Its largest new stake was Neuberger Energy Infrastructure and Income Fund Inc: 195,385 shares worth $3.67M.

By sector, the portfolio is most concentrated in Miscellaneous at 27% of assets, down from 29% a quarter earlier, followed by Financials and Energy.

On the sell side, the largest reduction was Windstream Holdings Inc, an estimated $28.7M trimmed.

  • Advisors Asset Management's largest Q3 2013 buy was Neuberger Energy Infrastructure and Income Fund Inc: 195,385 shares worth $3.67M.
  • Advisors Asset Management added most to DuPont de Nemours in Q3 2013, an estimated $7.66M increase.
  • Advisors Asset Management's biggest Q3 2013 reduction was Windstream Holdings Inc, cutting an estimated $28.7M.
  • Advisors Asset Management fully exited NUVEEN MUNICIPAL HIGH INCM OPPORT FUND 2 COM in Q3 2013, selling an estimated $3.39M.
  • Advisors Asset Management's ten largest holdings make up 8.8% of its $5.63B portfolio in Q3 2013.
  • Advisors Asset Management opened 84 new positions and closed 97 in Q3 2013.
  • Advisors Asset Management's portfolio value rose 6.4% quarter-over-quarter to $5.63B.

Based on Advisors Asset Management's 13F filing for Q3 2013, filed 15 Nov 2013.