FIRST TRUST ADVISORS LP
Latest filing: Dec 02, 2024 (136 days ago)
AUM
$210,879,000,000
0% change vs. 1 year ago
-6% change vs. 3 years ago
45% change vs. 5 years ago
101% change vs. 10 years ago
Employee Count
426
0% change vs. 1 year ago
-20% change vs. 3 years ago
-19% change vs. 5 years ago
2% change vs. 10 years ago
Main Office
WHEATON, IL
120 E. LIBERTY DRIVE, WHEATON, IL, UNITED STATES, 60187
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $154.0 |
| Non-Discretionary | $56.9 |
| Total | $210.9 |
| Client | AUM |
|---|---|
| Retail | $0.4 |
| Pooled | $210.5 |
| Institutional | $0.0 |
| Total | $210.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 1,092 | $0.4 |
| Average Individual AUM | $356,227 | |
| HNW | 4 | $0.0 |
| Average HNW AUM | $7,000,000 | |
| Retail Total | 1,096 | $0.4 |
| Average Retail AUM | $380,474 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| WELLS FARGO CLEARING SERVICES, LLC | ST. LOUIS-MO-USA | $0.2 |
| RAYMOND JAMES & ASSOCIATES, INC. | ST. PETERSBURG-FL-USA | $0.0 |
| LPL FINANCIAL LLC | FORT MILL-SC-USA | $0.0 |
| UBS FINANCIAL SERVICES INC. | WEEHAWKEN-NJ-USA | $0.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.4 |
| Retail SMA AUM | $0.4 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 42% | $0.2 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 1% | $0.0 |
| Municipal | 14% | $0.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 39% | $0.2 |
| Other Pools | 0% | $0.0 |
| Cash | 3% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.4 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| VEST FINANCIAL LLC | $24.4 | 165976 | |
| STONEBRIDGE ADVISORS LLC | $10.0 | 134017 | |
| FIRST TRUST CAPITAL MANAGEMENT L.P. | $6.4 | 317825 | |
| FIRST TRUST DIRECT INDEXING L.P. | $1.4 | 297760 | |
| FIRST TRUST INVESTMENT SOLUTIONS L.P. | $0.5 | 328327 | |
| FIRST TRUST GLOBAL PORTFOLIOS LIMITED | $0.2 | 169173 | |
| A1 MANAGEMENT CO. LLC | $0.0 | 326677 | |
| FIRST TRUST GLOBAL PORTFOLIOS MANAGEMENT LIMTED | $0.0 | - | |
| FIRST TRUST PORTFOLIOS L.P. | $0.0 | broker-dealer | 28519 |
| FIRST TRUST CAPITAL PARTNERS LLC | $0.0 | - | |
| VEST SECURITIES, LLC | $0.0 | broker-dealer | 317379 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
14 active
| Name | Title |
|---|---|
| JARDINE, WILLIAM, SCOTT | GENERAL COUNSEL |
| HALL, ROBERT, SCOTT | MANAGING DIRECTOR |
| BOWEN, JAMES, ALLEN | SOLE SHAREHOLDER, CHIEF EXECUTIVE OFFICER |
| ROGGENSACK, ANDREW, SCOTT | PRESIDENT |
| MCGAREL, DAVID, GERARD | MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER, CHIEF OPERATING OFFICER |
| LINDQUIST, DANIEL, JOEL | MANAGING DIRECTOR |
| DYKAS, JAMES, MARTIN | CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR |
| DEHLER, KELLY, CATHERINE | CHIEF COMPLIANCE OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
526 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| BRITTANY BEHRHORST | WHEATON | IL | S66|2020-01-06 | ||||||
| XHORDI XHOKOLA | WHEATON | IL | S66|2019-11-08 | ||||||
| ERIK HEAVEY | WHEATON | IL | S63|2005-12-09|S66|2012-04-05 | ||||||
| CESAR MARTINEZ | WHEATON | IL | S66|2008-01-28 | ||||||
| MATTHEW KOELZER | WHEATON | IL | S66|2020-10-30 | ||||||
| JOSEPH SELVAGGIO | WHEATON | IL | S63|2010-10-04|S66|2012-06-12 | ||||||
| KEVIN DENARDO | WHEATON | IL | S63|1993-03-25|S66|2008-05-23 | ||||||
| DMARTE ARAFILES | WHEATON | IL | S63|2020-05-09|S65|2022-12-10 | ||||||
| THOMAS ANSIEL | WHEATON | IL | S66|2021-09-14 | ||||||
| TRENT DIEKVOSS | WHEATON | IL | S66|2017-04-22 | ||||||
| ERIC MONTANARI | WHEATON | IL | S66|2013-09-05 | ||||||
| DANIEL LAVIN | WHEATON | IL | S63|1986-04-17|S65|2002-10-14 | ||||||
| JOHN DONALDSON | WHEATON | IL | S63|2021-07-02|S65|2024-01-23 | ||||||
| IAN KARCHER | WHEATON | IL | S66|2021-02-03 | ||||||
| THOMAS MARSH | WHEATON | IL | S63|2023-12-08 | CHARTERED FINANCIAL ANALYST | |||||
| TOBIN CROWDER | WHEATON | IL | S63|1995-09-05|S65|2008-07-29 | ||||||
| DANIEL DEMERCHANT | WHEATON | IL | S63|2014-09-26|S66|2016-08-11 | ||||||
| ALEX LAKATOS | WHEATON | IL | S63|2015-12-11|S65|2016-01-29 | ||||||
| ROSS NEUMAN | WHEATON | IL | S65|2016-05-17|S63|2018-10-30 | ||||||
| BARTON HOUSMAN | WHEATON | IL | S63|2007-05-03|S65|2011-07-14 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $210.9 | $0.0 | 0% | 426 | 0 | 0% |
| 2024-04-02 | $210.9 | $0.0 | 0% | 426 | 0 | 0% |
| 2023-04-04 | $190.5 | $20.4 | 11% | 637 | -211 | -33% |
| 2022-04-01 | $223.6 | -$12.7 | -6% | 535 | -109 | -20% |
| 2021-04-05 | $171.6 | $39.3 | 23% | 560 | -134 | -24% |
| 2020-04-01 | $145.5 | $65.4 | 45% | 524 | -98 | -19% |
| 2019-04-01 | $113.4 | $97.5 | 86% | 495 | -69 | -14% |
| 2018-04-02 | $118.9 | $91.9 | 77% | 440 | -14 | -3% |
| 2017-04-01 | $99.0 | $111.9 | 113% | 435 | -9 | -2% |
| 2016-04-01 | $104.2 | $106.7 | 102% | 451 | -25 | -6% |
| 2015-04-01 | $104.9 | $106.0 | 101% | 418 | 8 | 2% |
| 2014-04-01 | $85.4 | $125.4 | 147% | 373 | 53 | 14% |
| 2013-04-01 | $63.1 | $147.7 | 234% | 189 | 237 | 125% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| IL, AK-10/26/2001, AL-04/05/2006, AR-04/09/2007, AZ-06/19/2000, CA-05/18/2000, CO-01/22/2002, CT-08/05/2005, DC-02/06/2006, DE-06/03/2013, FL-09/25/1995, GA-01/22/2002, HI-06/03/2013, IA-08/08/2005, ID-01/22/2002, IL-05/06/1992, IN-02/14/2001, KS-09/23/1992, KY-01/06/2005, LA-01/06/2005, MA-01/22/2002, MD-05/04/2005, ME-11/05/2007, MI-01/22/2002, MN-01/30/2002, MO-08/13/1992, MS-04/07/2004, MT-09/12/2005, NC-04/07/2004, ND-06/03/2013, NE-04/05/2006, NH-04/11/2007, NJ-04/11/2000, NM-04/05/2000, NV-04/03/2000, NY-04/07/2004, OH-01/22/2002, OK-09/05/2003, OR-04/25/2000, PA-11/13/2003, RI-06/03/2013, SC-04/05/2005, SD-01/02/2008, TN-01/23/2002, TX-05/19/2000, UT-04/07/2004, VA-01/22/2002, VT-01/06/2005, WA-06/21/2000, WI-07/24/1992, WV-08/04/2006, WY-07/06/2017 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION NEWSLETTERS |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV