Advisors Asset Management, Inc.
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Other (100)
13F-HR
Wednesday, 2/14/2024
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 11/14/2023
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 8/14/2023
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 5/12/2023
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 2/13/2023
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 11/8/2022
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 8/8/2022
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 5/17/2022
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 2/15/2022
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 11/12/2021
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 7/30/2021
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 5/7/2021
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 2/12/2021
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 11/16/2020
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 8/12/2020
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR/A
Wednesday, 5/20/2020
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 5/15/2020
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 2/14/2020
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 11/14/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR/A
Thursday, 11/14/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 8/14/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 5/15/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
APP NTC
Wednesday, 2/27/2019
None
APP ORDR
Wednesday, 2/27/2019
None
13F-HR/A
Thursday, 2/7/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 1/31/2019
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 11/15/2018
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR/A
Wednesday, 8/22/2018
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 8/15/2018
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 5/15/2018
Initial Quarterly Form 13F Holdings Report filed by institutional managers
40-APP/A
Thursday, 5/3/2018
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
13F-HR
Tuesday, 2/13/2018
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 11/7/2017
Initial Quarterly Form 13F Holdings Report filed by institutional managers
40-APP
Wednesday, 10/11/2017
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
13F-HR
Wednesday, 8/2/2017
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 5/2/2017
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 2/9/2017
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 10/31/2016
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 8/8/2016
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 5/16/2016
Initial Quarterly Form 13F Holdings Report filed by institutional managers
APP ORDR
Friday, 4/29/2016
None
APP ORDR
Monday, 4/4/2016
None
APP NTC
Friday, 4/1/2016
None
APP NTC
Wednesday, 3/30/2016
None
13F-HR
Wednesday, 2/10/2016
Initial Quarterly Form 13F Holdings Report filed by institutional managers
40-APP/A
Wednesday, 1/13/2016
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
13F-HR
Monday, 11/16/2015
Initial Quarterly Form 13F Holdings Report filed by institutional managers
40-APP/A
Thursday, 11/12/2015
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
APP NTC
Tuesday, 10/20/2015
None
40-APP
Thursday, 8/20/2015
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-APP
Thursday, 8/20/2015
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-APP
Thursday, 8/20/2015
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
13F-HR
Tuesday, 8/11/2015
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 5/13/2015
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 2/5/2015
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 11/13/2014
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 8/14/2014
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 5/15/2014
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 2/3/2014
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 11/15/2013
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 8/14/2013
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 4/24/2013
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Friday, 2/8/2013
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 10/31/2012
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 8/6/2012
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 5/9/2012
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 2/9/2012
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 11/2/2011
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 8/11/2011
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 5/12/2011
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 2/10/2011
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 11/10/2010
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR/A
Wednesday, 9/15/2010
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR/A
Wednesday, 9/15/2010
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Monday, 8/9/2010
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 5/12/2010
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 2/11/2010
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 11/5/2009
Initial Quarterly Form 13F Holdings Report filed by institutional managers
APP ORDR
Tuesday, 9/15/2009
None
13F-HR
Monday, 8/10/2009
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR/A
Monday, 5/18/2009
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 5/13/2009
Initial Quarterly Form 13F Holdings Report filed by institutional managers
40-APP/A
Friday, 2/20/2009
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
13F-HR
Wednesday, 2/11/2009
Initial Quarterly Form 13F Holdings Report filed by institutional managers
40-APP/A
Monday, 11/24/2008
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
13F-HR
Thursday, 11/13/2008
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 8/14/2008
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 5/14/2008
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Tuesday, 2/12/2008
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Thursday, 11/8/2007
Initial Quarterly Form 13F Holdings Report filed by institutional managers
13F-HR
Wednesday, 8/15/2007
Initial Quarterly Form 13F Holdings Report filed by institutional managers
REGDEX
Tuesday, 7/17/2007
Form D (PDF)
40-6C/A
Friday, 8/13/2004
None
40-6C/A
Friday, 8/13/2004
None
40-6C/A
Thursday, 8/5/2004
None
40-6C/A
Thursday, 8/5/2004
None
40-6C
Thursday, 7/15/2004
None
40-6C
Thursday, 7/15/2004
None
40-6C
Wednesday, 7/14/2004
None
NO ACT
Thursday, 4/29/2004
None
Ownership (305)
SC 13G/A
Monday, 1/29/2024
Voya Global Advantage & Premium Opportunity Fund: Major Shareholders
SC 13G
Wednesday, 8/9/2023
Voya Global Advantage & Premium Opportunity Fund: Major Shareholders
SC 13G/A
Monday, 4/10/2023
abrdn Global Dynamic Dividend Fund: Major Shareholders
SC 13G/A
Wednesday, 1/18/2023
abrdn Global Dynamic Dividend Fund: Major Shareholders
SC 13G/A
Friday, 6/10/2022
Virtus AllianzGI Diversified Income & Convertible Fund: Major Shareholders
SC 13G
Tuesday, 5/10/2022
ABERDEEN GLOBAL DYNAMIC DIVIDEND FUND: Major Shareholders
SC 13G/A
Wednesday, 2/9/2022
Virtus AllianzGI Diversified Income & Convertible Fund: Major Shareholders
SC 13G
Wednesday, 2/9/2022
Virtus AllianzGI Diversified Income & Convertible Fund: Major Shareholders
SC 13G/A
Monday, 1/10/2022
BANCROFT FUND LTD: Major Shareholders
SC 13G/A
Friday, 11/5/2021
ELLSWORTH GROWTH & INCOME FUND LTD: Major Shareholders
SC 13G/A
Thursday, 8/5/2021
Nuveen Core Equity Alpha Fund: Major Shareholders
SC 13G/A
Friday, 7/9/2021
FIRST TRUST ENERGY INFRASTRUCTURE FUND: Major Shareholders
SC 13G
Thursday, 6/10/2021
Virtus AllianzGI Convertible & Income Fund: Major Shareholders
SC 13G/A
Thursday, 2/4/2021
Nuveen Core Equity Alpha Fund: Major Shareholders
SC 13G/A
Thursday, 2/4/2021
BANCROFT FUND LTD: Major Shareholders
SC 13G/A
Thursday, 2/4/2021
FIRST TRUST ENERGY INFRASTRUCTURE FUND: Major Shareholders
SC 13G/A
Thursday, 2/4/2021
ELLSWORTH GROWTH & INCOME FUND LTD: Major Shareholders
SC 13G/A
Wednesday, 9/9/2020
Nuveen Core Equity Alpha Fund: Major Shareholders
SC 13G/A
Friday, 7/10/2020
Nuveen Core Equity Alpha Fund: Major Shareholders
SC 13G/A
Friday, 5/8/2020
Voya Global Advantage & Premium Opportunity Fund: Major Shareholders
SC 13G/A
Friday, 5/8/2020
TORTOISE POWER & ENERGY INFRASTRUCTURE FUND INC: Major Shareholders
SC 13G/A
Friday, 5/8/2020
BANCROFT FUND LTD: Major Shareholders
SC 13G/A
Friday, 5/8/2020
Clough Global Equity Fund: Major Shareholders
SC 13G
Friday, 5/8/2020
Nuveen Core Equity Alpha Fund: Major Shareholders
SC 13G/A
Friday, 3/6/2020
Apollo Tactical Income Fund Inc.: Major Shareholders
SC 13G/A
Thursday, 2/13/2020
Voya Global Advantage & Premium Opportunity Fund: Major Shareholders
SC 13G/A
Thursday, 2/13/2020
BANCROFT FUND LTD: Major Shareholders
SC 13G/A
Thursday, 2/13/2020
Clough Global Equity Fund: Major Shareholders
SC 13G/A
Thursday, 2/13/2020
ELLSWORTH GROWTH & INCOME FUND LTD: Major Shareholders
SC 13G/A
Thursday, 2/13/2020
FIRST TRUST ENERGY INFRASTRUCTURE FUND: Major Shareholders
SC 13G/A
Thursday, 2/13/2020
TORTOISE POWER & ENERGY INFRASTRUCTURE FUND INC: Major Shareholders
SC 13G/A
Thursday, 2/13/2020
Apollo Tactical Income Fund Inc.: Major Shareholders
SC 13G/A
Friday, 1/10/2020
Voya Global Advantage & Premium Opportunity Fund: Major Shareholders
SC 13G/A
Tuesday, 12/10/2019
Duff & Phelps Select MLP & Midstream Energy Fund Inc.: Major Shareholders
SC 13G/A
Tuesday, 12/10/2019
HIGH INCOME SECURITIES FUND: Major Shareholders
SC 13G/A
Friday, 11/8/2019
Voya Global Advantage & Premium Opportunity Fund: Major Shareholders
SC 13G/A
Friday, 11/8/2019
TORTOISE POWER & ENERGY INFRASTRUCTURE FUND INC: Major Shareholders
SC 13G
Friday, 11/8/2019
TORTOISE POWER & ENERGY INFRASTRUCTURE FUND INC: Major Shareholders
SC 13G
Friday, 11/8/2019
TORTOISE POWER & ENERGY INFRASTRUCTURE FUND INC: Major Shareholders
SC 13G
Friday, 11/8/2019
Voya Global Advantage & Premium Opportunity Fund: Major Shareholders
SC 13G/A
Tuesday, 9/10/2019
Cushing Renaissance Fund: Major Shareholders
SC 13G
Tuesday, 9/10/2019
FIRST TRUST ENERGY INFRASTRUCTURE FUND: Major Shareholders
SC 13G
Friday, 8/9/2019
HIGH INCOME SECURITIES FUND: Major Shareholders
SC 13G/A
Friday, 8/9/2019
TORTOISE POWER & ENERGY INFRASTRUCTURE FUND INC: Major Shareholders
SC 13G
Wednesday, 7/10/2019
Duff & Phelps Select MLP & Midstream Energy Fund Inc.: Major Shareholders
SC 13G/A
Wednesday, 7/10/2019
THL Credit Senior Loan Fund: Major Shareholders
SC 13G/A
Wednesday, 7/10/2019
Nuveen Core Equity Alpha Fund: Major Shareholders
SC 13G/A
Monday, 6/10/2019
Voya Asia Pacific High Dividend Equity Income Fund: Major Shareholders
SC 13G/A
Monday, 3/11/2019
Voya Global Advantage & Premium Opportunity Fund: Major Shareholders
SC 13G/A
Monday, 3/11/2019
AllianzGI Diversified Income & Convertible Fund: Major Shareholders
SC 13G/A
Monday, 2/11/2019
Nuveen Core Equity Alpha Fund: Major Shareholders
SC 13G/A
Monday, 2/11/2019
KAYNE ANDERSON MIDSTREAM/ENERGY FUND, INC.: Major Shareholders
SC 13G/A
Monday, 2/11/2019
Voya Asia Pacific High Dividend Equity Income Fund: Major Shareholders
SC 13G/A
Monday, 2/11/2019
Cushing Renaissance Fund: Major Shareholders
SC 13G/A
Monday, 2/11/2019
KAYNE ANDERSON MIDSTREAM/ENERGY FUND, INC.: Major Shareholders
SC 13G/A
Monday, 2/11/2019
Voya Global Advantage & Premium Opportunity Fund: Major Shareholders
SC 13G/A
Monday, 2/11/2019
THL Credit Senior Loan Fund: Major Shareholders
SC 13G/A
Monday, 2/11/2019
Apollo Tactical Income Fund Inc.: Major Shareholders
SC 13G/A
Monday, 2/11/2019
BANCROFT FUND LTD: Major Shareholders
SC 13G/A
Monday, 2/11/2019
AllianzGI Diversified Income & Convertible Fund: Major Shareholders
SC 13G/A
Monday, 2/11/2019
TORTOISE POWER & ENERGY INFRASTRUCTURE FUND INC: Major Shareholders
SC 13G/A
Monday, 2/11/2019
Voya Global Advantage & Premium Opportunity Fund: Major Shareholders
SC 13G/A
Monday, 2/11/2019
ELLSWORTH GROWTH & INCOME FUND LTD: Major Shareholders
SC 13G/A
Monday, 2/11/2019
Clough Global Equity Fund: Major Shareholders
SC 13G/A
Friday, 11/9/2018
Voya Emerging Markets High Dividend Equity Fund: Major Shareholders
SC 13G/A
Tuesday, 9/11/2018
ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND: Major Shareholders
SC 13G
Monday, 9/10/2018
KAYNE ANDERSON MIDSTREAM/ENERGY FUND, INC.: Major Shareholders
SC 13G
Tuesday, 7/10/2018
BANCROFT FUND LTD: Major Shareholders
SC 13G
Tuesday, 7/10/2018
ELLSWORTH GROWTH & INCOME FUND LTD: Major Shareholders
SC 13G
Monday, 6/11/2018
Clough Global Equity Fund: Major Shareholders
SC 13G/A
Thursday, 5/10/2018
Guggenheim Enhanced Equity Income Fund (f/k/a Old Mutual/Claymore Long-Short Fund): Major Shareholders
SC 13G/A
Thursday, 5/10/2018
Macquarie Global Infrastructure Total Return Fund Inc.: Major Shareholders
SC 13G/A
Thursday, 5/10/2018
NEW AMERICA HIGH INCOME FUND INC: Major Shareholders
SC 13G/A
Friday, 2/9/2018
Cushing Renaissance Fund: Major Shareholders
SC 13G
Thursday, 2/1/2018
Voya Global Advantage & Premium Opportunity Fund: Major Shareholders
SC 13G
Thursday, 2/1/2018
Cushing Renaissance Fund: Major Shareholders
SC 13G/A
Thursday, 2/1/2018
Guggenheim Enhanced Equity Income Fund (f/k/a Old Mutual/Claymore Long-Short Fund): Major Shareholders
SC 13G/A
Thursday, 2/1/2018
THL Credit Senior Loan Fund: Major Shareholders
SC 13G/A
Thursday, 2/1/2018
Voya Asia Pacific High Dividend Equity Income Fund: Major Shareholders
SC 13G/A
Thursday, 2/1/2018
Apollo Tactical Income Fund Inc.: Major Shareholders
SC 13G
Thursday, 2/1/2018
Voya Emerging Markets High Dividend Equity Fund: Major Shareholders
SC 13G
Thursday, 2/1/2018
ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND: Major Shareholders
SC 13G
Thursday, 2/1/2018
AllianzGI Diversified Income & Convertible Fund: Major Shareholders
SC 13G
Thursday, 2/1/2018
NEW AMERICA HIGH INCOME FUND INC: Major Shareholders
SC 13G
Thursday, 2/1/2018
Nuveen Core Equity Alpha Fund: Major Shareholders
SC 13G
Thursday, 2/1/2018
Macquarie Global Infrastructure Total Return Fund Inc.: Major Shareholders
SC 13G/A
Thursday, 1/11/2018
Voya Natural Resources Equity Income Fund: Major Shareholders
SC 13G/A
Thursday, 1/11/2018
Delaware Enhanced Global Dividend & Income Fund: Major Shareholders
SC 13G/A
Thursday, 10/5/2017
Madison Covered Call & Equity Strategy Fund: Major Shareholders
SC 13G/A
Thursday, 9/7/2017
Stone Harbor Emerging Markets Total Income Fund: Major Shareholders
SC 13G/A
Thursday, 6/8/2017
Madison Covered Call & Equity Strategy Fund: Major Shareholders
SC 13G/A
Thursday, 6/8/2017
ALPINE GLOBAL DYNAMIC DIVIDEND FUND: Major Shareholders
SC 13G/A
Tuesday, 5/9/2017
Alcentra Capital Corp: Major Shareholders
SC 13G/A
Tuesday, 5/9/2017
GDL FUND: Major Shareholders
SC 13G/A
Tuesday, 5/9/2017
American Capital Senior Floating, Ltd.: Major Shareholders
SC 13G/A
Tuesday, 5/9/2017
Guggenheim Enhanced Equity Income Fund (f/k/a Old Mutual/Claymore Long-Short Fund): Major Shareholders
SC 13G/A
Tuesday, 5/9/2017
Virtus Total Return Fund: Major Shareholders
SC 13G/A
Monday, 4/10/2017
Advent Claymore Convertible Securities & Income Fund II: Major Shareholders
SC 13G/A
Monday, 4/10/2017
Stellus Capital Investment Corp: Major Shareholders
SC 13G/A
Monday, 4/10/2017
NUVEEN DIVERSIFIED DIVIDEND & INCOME FUND: Major Shareholders