Advisors Asset Management, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm serves individual clients primarily by placing accounts with third‑party money managers and by providing fee‑for‑service financial planning; it does not act as a custodian or directly manage client assets. It also offers insurance products through an affiliated insurance business, and representatives may receive commissions from those insurance sales separate from advisory fees.
For investment services the firm solicits and refers clients to third‑party managers (including Gradient Investments, LLC), acts as the client liaison, reviews quarterly reports, and receives a portion of the third‑party manager’s advisory fees while clients are billed under the manager’s fee schedule. The firm does not accept discretionary trading authority, and financial planning is provided on an hourly basis with delivery of third‑party ADV and solicitor disclosure documents to clients.
Distinctive features include supervision and compliance being vested in the sole owner, who spends substantial time in the affiliated insurance business and receives external compensation and incentive payments tied to the third‑party manager — arrangements that the brochure discloses and addresses as potential conflicts. The firm also discloses two regulatory consent orders from 2017 related to an annuity suitability matter and a licensing disclosure issue, and it relies on referral/incentive relationships rather than directly offering percentage‑of‑AUM portfolio management.
Client services
Expertise
Fee options
$0+: 1.00% to 2.15% annually dependent on portfolio type (refer to third-party manager Gradient Investments, LLC fee schedule) $0+: $300 flat fee for Client Directed Accounts
Insurance product commissions paid to firm representatives; separate from advisory fees.
Financial planning hourly fee of $300 per hour.
Minimum fee: $300 Quarterly Service Fee (technology fee) charged per account or investment strategy Fee-only: Financial planning charged at $300 per hour, billed 50% in advance with balance due upon plan delivery.
Main office
4301 South Pine St., Suite 628
Tacoma WA 98409
Advisors at this office
2
Most active in
Washington
Also doing business as
Advisors Asset Management, Inc. · Senior Care Financial, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Janet P
Series 63, Series 65
Tacoma, WA
Advisors Asset Management, Inc.
Janet Pack is a financial advisor with Advisors Asset Management, Inc. in Tacoma, WA, holding Series 63 and Series 65 licenses and 14 years of industry experience. She has worked at Advisors Asset Management since 2017 and has also been involved with Senior Care Alliance since 2005, where she spends approximately 70% of her time overseeing insurance product sales. Her prior experience includes a role at Federal Retirement Resources in 2017. Advisors Asset Management primarily serves individual clients by referring accounts to third-party money managers and providing fee-for-service financial planning without acting as a custodian or directly managing client assets. The firm also offers insurance products through an affiliated business and receives compensation tied to third-party manager advisory fees while maintaining compliance oversight internally.
Rachel M
Series 65
Tacoma, WA
Advisors Asset Management, Inc.
Rachel Matthews is a financial advisor at Advisors Asset Management, Inc. in Tacoma, WA. She holds a Series 65 designation and has one year of industry experience. Prior to joining her current firm in 2026, she worked at Senior Care Alliance dba Senior Retirement Advisors and has a diverse background including roles in real estate and fitness. Advisors Asset Management, Inc. serves individual clients primarily by placing accounts with third-party money managers and providing fee-for-service financial planning. The firm acts as a client liaison and does not directly manage assets, offering investment services through referrals and delivering advisory oversight alongside affiliated insurance products.
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