AAM Unit Investment Trust Strategic Partners

As a dynamic, client-centric firm, Advisors Asset Management, Inc. (AAM) is continually looking for ways to grow the products and services we provide to advisors so that you may, in turn, find the investment solutions that best meet your clients’ objectives. In doing so, AAM has established a growing network of strategic partners. To find out more about particular strategic partners, please click one of the partners below.

Founded in 1990, Bahl & Gaynor is a Cincinnati-based, employee-owned firm. They purchase “high quality” companies at sensible valuations, seeking consistent performance while at the same time attempting to provide downside protection. Investment decisions are made by a team of 19 senior investment professionals who function as peers with each having an equal vote on portfolio security purchases and sales. All serve as portfolio managers, research analysts, and client service contacts.

Founded in 1986, Cohen & Steers is a global investment manager specializing in liquid real assets, including real estate securities, listed infrastructure, commodities and natural resource equities, as well as preferred securities and other income solutions. They are among the largest real estate investment trust (“REIT”) managers in the U.S. and employ a significant research and trading staff. Many investors have come to view Cohen & Steers as an important source for income-oriented investment products.

Cyrus J. Lawrence LLC (“CJL”) is a New York based investment management boutique. CJL provides platinum level service and investment portfolio customization to individuals, families, and institutions. With a legacy dating back to 1864, CJL was re-launched in 2014 as an independent SEC registered investment advisor. The firm combines the talents of a highly experienced portfolio management team with an environment centered only on delivering optimal results for its clients. CJL’s portfolio managers utilize their extensive investment experience and a culture centered on identifying longer term investment trends for the benefit of its clients’ portfolios. C.J. Lawrence is a registered trademark of Cyrus J. Lawrence LLC.

Hartford Investment Management Company (“HIMCO”) is the asset management arm of The Hartford Financial Services Group, Inc. (“The Hartford”). The firm has a long history of providing innovative, customer-focused investment strategies that seek to provide the outcomes investors need to meet their obligations in retirement, including income, strong risk-adjusted returns, and capital preservation. As of June 30, 2022, HIMCO manages/advises approximately $113.3 billion across the fixed income, equity, and alternatives markets on behalf of The Hartford, The Hartford’s Defined Benefit Pension Plan, as well as Retail and Institutional clients. They utilize a balanced top-down, bottom-up approach to determine underlying relative value at the macro-economic, sector, and security levels, and have developed a culture that fosters debate within a collegial atmosphere to seek maximum value from each of its professionals’ perspectives. HIMCO has more than 130 investment professionals who average 20 years of investment industry experience and have managed across multiple economic cycles. HIMCO has been a registered investment advisor with the Securities and Exchange Commission since its founding in 1981.*

* SEC registration does not imply a certain level of skill or training, nor does it imply that the SEC has sponsored, recommended, or otherwise approved of HIMCO.


Pence Capital Management, LLC is a registered investment advisory firm based in Newport Beach, California. The firm uses its proprietary research to identify and deliver actionable investment insights.

The firm is led by Colonel E. Dryden Pence III (Ret.), a Harvard-educated economist with thirty years of experience in the financial industry. His formal training and knowledge in economics combined with his career of more than twenty-two years in Army Intelligence, Special Operations and Psychological Warfare, gives the firm a unique understanding of human behavior and its effects on the economy and the markets. Additionally, the firm’s strategy focuses on investing in companies at the ”choke-point” of the supply chain between consumer demand and its satisfaction. These companies tend to dominate their industry and thus tend to have pricing power.

The Peroni Method® is a proprietary form of investment analysis that uses a bottom-up approach to select stocks by focusing on their individual technical merits. Gene Peroni tracks nearly 1,000 stocks daily, analyzing price movements, money flow, and relative strength characteristics. His analysis seeks to identify leading stocks in the market by examining a stock’s price architecture, accumulation and distribution trends, and the relative strength of its respective industry sector.

Gene’s analysis relies, in part, on hand-drawn point-and-figure charts which have been a part of the methodology for over a half century. This hands-on approach combines both technical and psychological factors as well as economic, monetary, fiscal, and geopolitical trends. The methodology may uncover emerging patterns that could correspond to future stock performances. Gene’s technically-driven, unconstrained approach allows his portfolios to span all capitalization categories. Portfolio holdings are strategically diversified as dictated by current and evolving market cycles and anticipated investment conditions. This may allow for timely participation in leading stocks and industry sectors as well as offer a blend of growth and value styles. Technical analysis differs from fundamental analysis in that fundamental research generally involves financial scrutiny of the issuing company and considers such factors as earnings projections, price-to-earnings ratios, cash flow, and other balance sheet data. The Peroni Method® may provide a low correlation investment alternative to fundamental or quantitative analysis.

Peroni Portfolio Advisors, Inc. (PPA) was established in June 2016. PPA offers investors equity themed Unit Investment Trusts and a Separately Managed Account program based on Gene’s proprietary technical research approach to stock selection.

Founded in 1998, Sawgrass Asset Management is a Florida-based, 100% employee-owned firm. Sawgrass’ conservative, repeatable investment process seeks to uncover opportunities with attractive valuations, low price volatility and consistent/stable earnings growth. The investment process has demonstrated success in providing strong risk-adjusted returns versus its peers, driven by downside protection. Sawgrass prides itself on its commitment to its core values of integrity, respect, hard work and ethical behavior.

Todd Asset Management traces its roots to 1967 when Bosworth Todd founded Todd Investment Advisors as a value-oriented investment advisor employing the customary measures of identifying attractive value. In 1986, responding to changing markets and frustration with the static nature of standard value practices, Todd Investment Advisors adopted its unique methodology using intrinsic value to identify a stock's true underlying value. Today, with 30-plus years of experience with the intrinsic value methodology, Todd Asset Management continues to believe Price to Intrinsic Value ("P/IV") is the most effective method for determining the relative attractiveness of one stock versus another, regardless of economic sector.

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CRN: 2015-1015-4993 R

Unit Investment Trusts (UITs) are sold only by prospectus. Investors should read the prospectus carefully before investing which contains a detailed explanation of the investment objectives, risks, charges, and expenses. Investors should consult their accounting, legal, or tax advisor.

The distribution rate paid by the trust may be higher or lower than the amount shown above due to factors including, but not limited to, changes in the price of trust units, changes (including reductions) in distributions paid by issuers, changes in actual trust expenses and sales of securities in the portfolio. There is no guarantee that the issuers of the securities included in the trust will pay any distributions in the future. The Historical 12- Month Distribution Rate of Trust Holdings is calculated by taking the weighted average of the regular income distributions paid by the securities included in the trust’s portfolio over the 12 months preceding the trust’s date of deposit reduced to account for the effects of trust fees and expenses. The percentage shown is based on the current offer price during the initial offering period. This historical rate is for illustrative purposes only and is not indicative of amounts that will actually be distributed by the trust.

* Information labeled “Fee-Based Account” provides information pertaining to units purchased through registered investment advisers, certified financial planners or registered broker-dealers who in each case either charge investor accounts periodic fees for brokerage services, financial planning, investment advisory or asset management services, or provide such services in connection with an investment account for which a comprehensive “wrap fee” charge is imposed. You should consult your financial advisor to determine whether you can benefit from these accounts and whether your unit purchases are eligible for this discount. To purchase units in these accounts, your financial advisor must purchase units designated with one of the Fee Account CUSIP numbers, if available. The amounts shown are different from what would be applicable for units purchased in other accounts (i.e. “Commission-Based Accounts”) not eligible for this discount. See your prospectus and consult your financial advisor for more information about eligibility and applicability of the Fee-Based Account discount.