Hedge Fund Database

AAM

ASSET ALLOCATION & MANAGEMENT COMPANY, LLC Legal Name

Adviser information for AAM last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 48
Investment Advisory/Research 30
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 763 $23.0B
Non-Discretionary 6 $12.0M
Total 769 $23.0B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 2 $213.1M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 124 $22.6B
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 1 $127.3M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 2

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMFixed feesPerformance-based fees

Identifiers

SEC RIA File Number 801-60075
SEC ERA File Number 801-60075
SEC CIK Numbers 1498383
SEC CRD Numbers 109875
Legal Entity Identifier 549300DSCHEIV5W3U963

Principal Office

30 WEST MONROE STREET
THIRD FLOOR
CHICAGO
IL
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 312-263-2900, Fax: 312-263-1196

Websites

podcasts.apple.com/us/podcast/the-portfolio-fix-with-aam/id1475788300 www.linkedin.com/company/aam_2 www.youtube.com/channel/uccw1tazarium38gjvq1rbaa open.spotify.com/show/6v8xjrkujkti8mzxqtaidf www.aamcompany.com/ www.buzzsprout.com/510364

Chief Compliance Officer

CHELSEA KLASSA
CHIEF COMPLIANCE OFFICER
30 WEST MONROE STREET
THIRD FLOOR
CHICAGO
IL
United States
Tel: 312-845-2308
Fax: 312-263-1196
(Full email address available in API data)

Regulatory Contact

JOHN SCHAEFER
CHIEF EXECUTIVE OFFICER
30 WEST MONROE STREET
THIRD FLOOR
CHICAGO
IL
United States
Tel: 312-845-2349
(Full email address available in API data)

Industry Affiliates

A/Z MANAGEMENT, LLC Sponsor, GP, manager of pooled investment vehicles
MINNESOTA LIFE INSURANCE COMPANY Insurance company or agency
SECURIAN ASSET MANAGEMENT, INC. Other investment adviser, including financial planners
SECURIAN FINANCIAL SERVICES, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
SECURIAN LIFE INSURANCE COMPANY Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
SCHAEFER, JOHN, LARKIN Individual – CHIEF EXECUTIVE OFFICER, MANAGING MEMBER 04/2002 < 5%
NUTTALL, REED, J Individual – CHIEF INVESTMENT OFFICER 10/2004 < 5%
SCHAEFCO, INC. Domestic Entity – MEMBER 12/2007 5-10%
SCHAEFER, JOHN, LARKIN Individual SCHAEFCO, INC. MANAGING MEMBER 12/2007 > 75%
GOODMAN, ERIC, BYCK Individual – DIRECTOR 12/2014 < 5%
SECURIAN AAM HOLDINGS, LLC Domestic Entity – SOLE DIRECT OWNER 12/2014 50-75%
MINNESOTA LIFE INSURANCE COMPANY Domestic Entity SECURIAN AAM HOLDINGS, LLC SHAREHOLDER 12/2014 > 75%
SECURIAN FINANCIAL GROUP, INC. Domestic Entity MINNESOTA LIFE INSURANCE COMPANY SHAREHOLDER 10/1998 > 75%
BRAVO, MARCO, ANTHONY Individual BRAVO, INC. MANAGING MEMBER 01/2010 > 75%
BORGMANN, JOSEPH, ALLEN Individual – CHIEF FINANCIAL OFFICER 03/2017 < 5%
BRAVO, INC. Domestic Entity – MEMBER 01/2010 5-10%
Klassa, Chelsea, Lynn Individual – CHIEF COMPLIANCE OFFICER 12/2019 < 5%
ZACCARO, WARREN, JOHN Individual – DIRECTOR 03/2020 < 5%
SECURIAN HOLDING COMPANY Domestic Entity SECURIAN FINANCIAL GROUP, INC. SHAREHOLDER 10/1998 > 75%
MINNESOTA MUTUAL COMPANIES, INC. Domestic Entity SECURIAN HOLDING COMPANY SHAREHOLDER 10/1998 > 75%
HUOVINEN, SUZETTE, LOUISE Individual – DIRECTOR 05/2023 < 5%
BRAVO, MARCO, ANTHONY Individual – DIRECTOR 08/2023 < 5%

No. Employees, Historic

50250201920202021202220232024202549 on 5/10/201949 on 5/10/201949 on 1/9/202046 on 3/31/202046 on 6/25/202046 on 9/30/202046 on 3/30/202146 on 4/13/202146 on 6/24/202149 on 3/22/202246 on 3/17/202348 on 3/26/2024

RAUM, Historic

30B15B0201920202021202220232024202524702904810 on 5/10/201924702904810 on 5/10/201924702904810 on 1/9/202028041411308 on 3/31/202028041411308 on 6/25/202028025333850 on 9/30/202027649810031 on 3/30/202127649810031 on 4/13/202127649810031 on 6/24/202128965575307 on 3/22/202224000390411 on 3/17/202322965698670 on 3/26/2024

No. Clients, Historic

20010002019202020212022202320242025116 on 5/10/2019116 on 5/10/2019116 on 1/9/2020117 on 3/31/2020117 on 6/25/2020117 on 9/30/2020117 on 3/30/2021117 on 4/13/2021117 on 6/24/2021122 on 3/22/2022125 on 3/17/2023127 on 3/26/2024

Holdings

From latest 13F, filed July 9th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALPHABET INC CAP STK CL A 1K 7K –
BERKSHIRE HATHAWAY INC DEL CL A 2K 3 –
BP PLC SPONSORED ADR 433 12K –
BROADCOM INC COM 734 457 –
CEMEX SAB DE CV SPON ADR NEW 473 74K –
CUMMINS INC COM 211 763 –
EATON VANCE FLTING RATE INC COM 174 13K –
FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 777 17K –
FORD MTR CO DEL COM 627 50K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 2K 11K –
INVESCO QQQ TR UNIT SER 1 2K 4K –
INVESCO SR INCOME TR COM 129 30K –
ISHARES INC MSCI EMRG CHN 531 9K –
ISHARES TR CORE S&P500 ETF 9K 17K –
ISHARES TR RUSSELL 2000 ETF 258 1K –
ISHARES TR CORE S&P MCP ETF 1K 20K –
ISHARES TR SELECT DIVID ETF 1K 10K –
ISHARES TR MSCI EAFE ETF 308 4K –
ISHARES TR CORE S&P TTL STK 492 4K –
ISHARES TR IBOXX HI YD ETF 1K 19K –
ISHARES TR ISHS 1-5YR INVS 3K 60K –
ISHARES TR PFD AND INCM SEC 663 21K –
ISHARES TR FALN ANGLS USD 1K 39K –
ISHARES TR CORE S&P SCP ETF 591 6K –
ISHARES TR RUSSELL 3000 ETF 815 3K –
JANUS DETROIT STR TR HENDRSON AAA CL 2K 40K –
MARATHON PETE CORP COM 434 3K –
NI HLDGS INC COM 330 22K –
PIMCO INCOME STRATEGY FD II COM 125 18K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 3K 37K –
SCHWAB STRATEGIC TR US BRD MKT ETF 425 7K –
SPDR S&P 500 ETF TR TR UNIT 3K 5K –
SPDR SER TR PORTFLI HIGH YLD 7K 316K –
SSGA ACTIVE ETF TR BLACKSTONE SENR 8K 196K –
TARGET CORP COM 212 1K –
VALARIS LTD CL A 283 4K –
VALERO ENERGY CORP COM 256 2K –
VANGUARD BD INDEX FDS SHORT TRM BOND 241 3K –
VANGUARD INDEX FDS S&P 500 ETF SHS 14K 29K –
VANGUARD INDEX FDS MID CAP ETF 2K 7K –
VANGUARD INDEX FDS SMALL CP ETF 979 4K –
VANGUARD INDEX FDS TOTAL STK MKT 45K 168K –
VANGUARD INDEX FDS GROWTH ETF 5K 12K –
VANGUARD INDEX FDS MCAP GR IDXVIP 2K 7K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 3K 71K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 3K 44K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 6K 121K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 14K 116K –