Press Releases


Advisors Asset Management Expands Strategic Partnership with Rothschild Asset Management

Firms sign expanded distribution and sub-advisory agreement

MONUMENT, COLO.—June 23, 2016— Advisors Asset Management (AAM) announced today that it has entered into an agreement with Rothschild Asset Management Inc., the U.S. asset management business of Rothschild & Co ("Rothschild"), to become the distributor for select separately managed accounts (SMAs), including Rothschild’s U.S. Large-Cap Core, U.S. Large-Cap Value and U.S. Balanced strategies.

This agreement expands the scope of the existing partnership between AAM and Rothschild. In March, AAM became the sub-advisor for the fixed-income component of Rothschild’s U.S. Balanced SMA strategies, and agreed to perform the administrative and back-office functions for these portfolios. The prior accord also enabled AAM to distribute Rothschild’s U.S. Balanced SMAs. The new agreement will expand AAM’s distribution and operations functions to include Rothschild’s U.S. Large-Cap Core and U.S. Large-Cap Value strategies. Rothschild will continue to serve as investment manager for the two large-cap strategies and the investment advisor to the Balanced strategy with AAM acting as the sub-advisor for the fixed income portion.

“Building on the creation of three smart beta UITs in March, this agreement marks an important milestone in AAM’s strategic partnership with Rothschild,” said AAM Chief Executive Officer Scott Colyer. “We are thrilled to partner with such a distinguished global asset management firm and be recognized for our national distribution model and leading back-office capabilities. We look forward to growing our relationship with Rothschild.”

“From a distribution perspective, AAM is an ideal partner for SMA and UIT distribution because of the firm’s long-standing relationships with financial advisors across multiple channels. In addition, AAM’s reliable and proven back-office operations make the firm a natural fit for our U.S. Large-Cap SMA accounts,” said Rothschild Asset Management Chief Executive Officer Mike Woods. “AAM will be a great long-term partner for us as we continue to expand our footprint in the U.S. marketplace.”

About Advisors Asset Management

For more than 35 years, AAM has been a trusted resource for financial advisors and broker/dealers. It offers access to UITs (unit investment trusts), open- and closed-end mutual funds, separately managed accounts (SMAs), structured products and the fixed income markets, as well as portfolio analytics. For more information, visit

About Rothschild Asset Management Inc.

Headquartered in New York, Rothschild Asset Management Inc. manages investments covering a range of US securities including large-cap, small/mid-cap, small-cap, balanced, smart beta, and alternative strategies. The firm seeks to provide superior performance while controlling risk. Rothschild’s seasoned teams of investment professionals use a disciplined investment philosophy and offer an independent long-term perspective in bespoke asset management solutions, designed around the needs of each and every client. The firm manages assets for a broad range of clients including corporations, endowments, foundations, healthcare organizations, high-net-worth investors, public pension funds, sub-advisory and Taft-Hartley plans. Rothschild Asset Management Inc. is part of Rothschild & Co, one of the world's largest independent financial advisory groups.

*As of March 31, 2016, the brokerage and advised business at AAM represents approximately $16.5 billion in assets. (Assets under supervision represent $8.3 billion in UIT assets. The firm has $7.4 billion in assets under administration that represents the non-proprietary assets for which AAM provides various levels of service, but not management. The firm’s $833 million in assets under management represents AAM’s proprietary separately managed account and mutual fund assets.)

Unit Investment Trusts (UITs) are sold only by prospectus. You should consider the trust’s investment objectives, risks, charges and expenses carefully before investing. Contact your financial professional or visit Advisors Asset Management online at to obtain a prospectus, which contains this and other financial information about the trust. Read it carefully before you invest or send any money. As with any investment, investors may lose money by investing in UITs and the trust may not perform as well as expected. Investing in UITs is a long-term strategy and investors should consider their ability to invest in successive trusts, if available. Investors also should consult a tax professional regarding the tax implications associated with investing in UITs. Securities offered through your financial professional.

Advisors Asset Management, Inc. (AAM) is a SEC registered investment advisor and member FINRA/SIPC. | 18925 Base Camp Road | Monument, CO 80132 |

CRN 2016-0621-5424 R

Michael Chiong
(646) 922-7764