Structured Product Solutions
Expert advice, ongoing trade support, and transparent pricing for RIAs
A Platform that Caters to the Individual Needs of RIAs
Advisors Asset Management (AAM) is a recognized industry leader whose incentive lies in providing advisors with the best investment ideas and solutions for their business. We understand that maintaining high ethical business standards and compliance requirements are a top priority and we strive to offer the most appropriate, quality investments to strengthen your financial practice.
Diversified Access &
Custom-Built Structures
- Robust calendar with access to deals from all major issuers
- Custom-built structures that encourage issuer competition and transparent pricing
- Expertise in origination with ability to underwrite structured note and MLCD offerings
- Customized hedging and monetization strategies to address concentrated stock positions. LEARN MORE
Comprehensive Trade
& Ops Support
- Highly experienced Trading Desk
- Secondary trading and liquidity, with the ability to bid and offer positions in the secondary market
- Extensive desk relationships with
DVP* capabilities and trade-away accomodations with most custodians
*Delivery versus payment (DVP)
Extensive Sales &
Marketing Support
- Extensive sales support throughout pre- and post-trade life-cycle
- Ongoing portfolio reporting and CUSIP level trade monitoring
- Education, marketing, and due diligence support customized for the RIA
- CE credit opportunities
Create Tailored, High-Value Solutions
Diversify investor portfolios without compromising control
Like a fine, tailored suit many investors desire personalized solutions that are suitable for their individual financial needs and objectives.
With a focus on communication and transparency, AAM's reverse inquiry competencies allow us to help advisors create custom structured solutions designed to help investors express specific market views through market participation, potential yield enhancement, portfolio hedging and risk mitigation.
Create Tailored, High-Value Solutions
Diversify investor portfolios without compromising control
Like a fine, tailored suit many investors desire personalized solutions that are suitable for their individual financial needs and objectives.
With a focus on communication and transparency, AAM's reverse inquiry competencies allow us to help advisors create custom structured solutions designed to help investors express specific market views through market participation, potential yield enhancement, portfolio hedging and risk mitigation.
One-Stop Resource - www.AAMLive.com
Login to www.aamlive.com to leverage AAM’s enterprise-level resources to meaningfully enhance the investor experience through expanded solutions, proven marketing tools and customized sales support.
Search Calendar and Custom Offerings
Intuitive grid filters allow advisors to quickly search our extensive monthly calendar deals and customs with add-on opportunities. Online order entry capabilities allow for trade and operational efficiencies. View current calendar
Access Offering Details and Life-Cycle Management
Download current and past issuer product materials, including term sheets and offering documents. Post-trade life-cycle analysis is available for secondary CUSIPs with the ability to view underlier performance and events such as coupon payment and call events.
Leverage Marketing and Sales Resources
AAM maintains an extensive library of retail-friendly literature designed to help advisors educate investors and properly position structured products in portfolios. Additionally, economic commentary and analysis from AAM thought leaders help advisors navigate the market. View resource center
Online Education
Access online video education modules and quizzes to help educate advisors on structured product basics and structure types. CE credits available upon request.
Our Sales Commitment
Our experienced sales team is committed to providing quality interactions and investment solutions that meet your portfolio needs. We offer full life-cycle support from introduction through trade execution including comprehensive trade analysis and ongoing portfolio review.
AAM's Trade Desk Advantage
AAM’s seasoned team of structured product traders are highly proficient in origination and workflow management and maintain long-standing relationships with most major issuers and banks. We provide advisors with well-vetted, quality investments, in an effort to deliver the most appropriate solution based on investor objectives.
Concentrated Stock Solutions
Helping advisors address concentrated equity positions through customized hedging and monetization strategies.
Many investors accumulate significant wealth in a single stock through executive compensation, business liquidity events, or long-term appreciation. These holdings can introduce meaningful market, liquidity, diversification, and tax-planning challenges.
AAM works alongside advisors to evaluate customized hedging and monetization strategies designed to:
- Manage concentrated stock exposure
- Create liquidity without requiring an immediate sale
- Support tax-aware diversification planning
- Preserve important ownership characteristics where appropriate
- Provide institutional-level structuring and execution support
From initial analysis through implementation and ongoing review, AAM delivers full lifecycle support while allowing advisors to maintain control of the investor relationship.
Let us know how we can help you!
Advisors Asset Management, Inc. -- Company Profile
Established in 1979, AAM has become a highly respected financial force providing complete portfolio solutions tailored to the individual needs of financial professionals. Our results-oriented advisor-centric service model and industry experience differentiate us from the competition by adding real value to your financial services business.
For 45 years, AAM has been a trusted resource for financial professionals. The firm offers access to alternatives, exchange-traded funds, the fixed income markets, managed accounts, mutual funds, structured products, and unit investment trusts. AAM is a part of SLC Management, the institutional alternatives and traditional asset management business of Sun Life.
In 2025, AAM facilitated over $27.5 billion in combined sales and investments through 12,350 financial professionals industry-wide who accessed AAM’s investment solutions platform. Of the $27.5, approximately $6 billion were Exchange-Traded Fund (ETF), Managed Account (SMA), Mutual Fund, and Unit Investment Trust (UIT) assets, while $21.5 billion was in Fixed Income securities, including bonds and Structured Products.
For informational purposes only. Does not pertain to any security product or service and is not an offer or solicitation of an offer to buy or sell any product or service.
Structured products are complex and are not suitable for all investors. Structured Products are sold only by prospectus. Investors should read the prospectus and pricing supplement carefully before investing which contains a detailed explanation of the risks, tax treatment, and other relevant information about the investment. Investors should consult their accounting, legal, or tax advisor.
Hedging and monetization strategies involve risk and may not be suitable for all investors. Tax and legal considerations should be reviewed with the investor’s professional advisors.
Advisors Asset Management, Inc. (AAM) is not advising you to take any particular action based on the information, opinions or views contained herein. No representation is given with respect to the information’s accuracy or completeness, and it may change without notice.
This webpage is for informational purposes only to provide a high-level summary of various types of derivatives strategies. It is not intended to constitute investment advice or an investment recommendation. Advisors Asset Management, Inc. (“AAM”) has no knowledge of and has not been provided any information regarding any specific investor. This is not an offer or solicitation of an offer to any financial product or services. An investor would need sophisticated financial, legal and tax advice prior to entering any strategies discussed herein.
Any derivative strategies and specific derivative instruments described in this presentation involve a variety of significant risks. The specific risks presented by a particular derivative instrument and/or derivative strategy depend on the specific terms of the transaction and strategy and an investor’s circumstances. Investors and financial professionals should review all documents related to a derivative instrument and derivative strategy and make sure they have a full understanding of all applicable risks prior to entering into any transaction. Selected risks that apply to derivative transactions include but are not limited to market risk, credit and counterparty risk, funding risk, operational risk, liquidity risk.
CRN: 2025-0904-12828 R (Link 11059)