401(k) · DOL Form 5500 · 2022

Advisors Asset Management, Inc. 401(k) Plan

Data updated 2026-08-25

$41M
Total assets Below avg plan size
263
Participants Below avg headcount
86th
Percentile by assets National rank
$156,380
Avg per participant Above avg balance/head
PlainRetire home → About this data RSS: change history

Official DOL plan name: Advisors Asset Management, Inc. 401(k) Plan · Sponsored by Advisors Asset Management, Inc. · Colorado · Finance & Insurance

$41M in assets, 263 participants

Advisors Asset Management, Inc.'s Advisors Asset Management, Inc. 401(k) Plan reported $41M in total assets and 263 participants in its 2022 DOL Form 5500 filing, ranking in the 86th percentile by assets among filed plans. Figures are as reported by the plan sponsor to the Department of Labor, not audited or endorsed by PlainRetire.

  • #7,226 in Finance & Insurance (9,261 peers)

Where Advisors Asset Management, Inc. 401(k) Plan sits by assets

Advisors Asset Management, Inc. 401(k) Plan sits in the top quartile of all filed plans by assets, $41M for 263 participants (~$156,380/participant), down 20.2% in 2022.

#7,226
in Finance & Insurance (9,261 peers)
-20.2%
assets change YoY
0.4×
vs typical plan assets (national mean)

The plan reported a net loss of $10M for the year, a single-year figure driven by markets and benefit payments, not a measure of plan health.

Advisors Asset Management, Inc. 401(k) Plan's outsized position by total assets

Advisors Asset Management, Inc. 401(k) Plan vs every filed plan by assets

End-of-year total assets · plan year 2022 · DOL Form 5500

$41,128,061 Top 14% higher than 86% of 139,123 filed plans

This plan $0 $2,050,000,000 every filed plan with reported assets, bucketed by value

Dashed line + filled bar = this entry, among filed plans.

Source U.S. Department of Labor Form 5500 filings (EBSA) · plan year 2022

Advisors Asset Management, Inc. 401(k) Plan among mid-size filed plans by headcount

Plan-year 2022 Form 5500 filings with a reported participant count, partitioned by headcount band, not by assets. Advisors Asset Management, Inc. 401(k) Plan sits mid-pack in the medium band (263 participants).

EBSA filing schedule strip

Filing strip 200532180 · Advisors Asset Management, Inc. PY 2022 · 401(k)

Advisors Asset Management, Inc. 401(k) Plan · $41M · 263 · 86th

  • EBSA $41M
  • EBSA 263
  • EBSA 86th
  • EBSA 401(k)
  • EBSA near Germain Retirement Security Savings Plan
  • EBSA ind #7226

Stamps derive from this plan's Form 5500 line items (assets, participants, type, EIN, cohort placement) - not a quality rating of the sponsor. Read with Finance & Insurance retirement plans → · Plans in Colorado →

Advisors Asset Management, Inc. 401(k) Plan in the asset neighbourhood

Scientific Components 401(k) PlanScientific Components 401(k)…$41MAdvisors Asset Management, Inc. 401(k) PlanAdvisors Asset Management, I…$41MGermain Retirement Security Savings PlanGermain Retirement Security …$41MAti Restoration, LLC 401(k) Savings & Retirement PlanAti Restoration, LLC 401(k) …$41MThe Fred W. Albrecht Grocery Company Associates' 401(k)The Fred W. Albrecht Grocery…$41M
End-of-year total assets ($M) among Advisors Asset Management, Inc. 401(k) Plan and nearest nationwide 401(k) peers. Source: DOL Form 5500 plan year 2022.

Scale-class filing particulars (2022)

Total Assets (Beginning of Year)$52M
Net Assets (End of Year)$41M
Net Income-$10M
Employer EIN200532180
Plan Effective Date2008-01-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Advisors Asset Management, Inc.)

Sponsor-wide plan assets over time

All Advisors Asset Management, Inc. plans reported in each filing year

Latest sponsor-wide plan assets
$57M 39.38025670599934% vs 2022
2024 filing year
$35M$40M$45M$50M$55M$60M 202220232024 $41.1M $57.3M ▲ +39.4%
Year Plans Participants Total Assets
2022 1 263 $41M
2023 1 254 $51M
2024 1 271 $57M

Nearby 401(k) Plans in Colorado

Peer 401(k) plans, same state, same plan type, ranked by total assets.

Advisors Asset Management, Inc. 401(k) Plan vs. nearby 401(k) plans in Colorado, assets vs. participants Scatter plot of 6 data points. -20000020000400006000080000 -10123 Total assets ($B) Participants Advisors Asset Management, Inc. 401(k) Plan, Total assets ($B): 0.041128061 · Participants: 263Advisors Asset Management, Inc. 401(k) PlanDavita Retirement Savings Plan, Total assets ($B): 2.75238679 · Participants: 57172Davita Retirement Savings PlanBall Corporation 401(k) and Employee Stock Ownership Plan, Total assets ($B): 2.51543651 · Participants: 10671Ball Corporation 401(k) and Employee Stock Ownership PlanScl Health 401(k) Retirement Savings Plan, Total assets ($B): 1.514958969 · Participants: 12642Scl Health 401(k) Retirement Savings PlanWoodward Retirement Savings Plan, Total assets ($B): 1.504801917 · Participants: 5046Woodward Retirement Savings PlanEmpower Retirement, LLC 401(k) Savings Plan, Total assets ($B): 1.49307635 · Participants: 7741Empower Retirement, LLC 401(k) Savings Plan
Advisors Asset Management, Inc. 401(k) Plan vs. nearby 401(k) plans in Colorado, assets vs. participants
Compare Advisors Asset Management, Inc. 401(k) Plan side-by-side with 3 peers →

Advisors Asset Management, Inc. 401(k) Plan's out-of-state 401(k) peers by assets and headcount

Outside Colorado, the nearest 401(k) by assets is Germain Retirement Security Savings Plan in OH ($41M); by covered participants it is 2nd Watch 401(k) Plan in WA (263 participants). Same-state nearby plans are listed separately above.

Similar participant headcount

Nearest other-state filings by covered participants (263 participants); asset peers above are excluded.

DOL Form 5500 plan year 2022. Asset totals can differ widely at the same headcount; neither axis is a quality rating.

Frequently Asked Questions

How did Advisors Asset Management, Inc. 401(k) Plan assets move in 2022? ▼
Advisors Asset Management, Inc. 401(k) Plan declined sharply - down 20.2% during 2022, from $52M to $41M. Reported net income was -$10M.
How have Advisors Asset Management, Inc. plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Advisors Asset Management, Inc.'s sponsor-wide assets grew 39.4%, from $41M to $57M.
Where does Advisors Asset Management, Inc. 401(k) Plan rank by assets among Form 5500 filers? ▼
Advisors Asset Management, Inc. 401(k) Plan ranks in the 86th percentile by end-of-year assets among 139,126 plans that reported assets for plan year 2022 (in the top quartile of all filed plans by assets).
Which 401(k) plans are similar in size to Advisors Asset Management, Inc. 401(k) Plan? ▼
Among 401(k) plans in other states, the closest by assets is Germain Retirement Security Savings Plan in OH ($41M, 1,103 participants).
Which 401(k) plans cover a similar participant headcount to Advisors Asset Management, Inc. 401(k) Plan? ▼
Among 401(k) plans in other states, the closest by covered participants is 2nd Watch 401(k) Plan in WA (263 participants, $11M in assets).

Source: U.S. Department of Labor, Employee Benefits Security Administration (EBSA), Form 5500 public disclosure dataset. Plan year 2022.

Source: DOL EFAST2 filing system (efast.dol.gov) - original filing retrieval by EIN 200532180.

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from U.S. Department of Labor Form 5500 filings (EBSA). See our methodology for details.