FIRST TRUST DIRECT INDEXING
Latest filing: Sep 23, 2024 (208 days ago)
AUM
$1,420,844,638
44% change vs. 1 year ago
91% change vs. 3 years ago
798% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
11
-15% change vs. 1 year ago
38% change vs. 3 years ago
38% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
BOSTON, MA
33 ARCH STREET, BOSTON, MA, UNITED STATES, 02110
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $1.4 |
| Non-Discretionary | $0.0 |
| Total | $1.4 |
| Client | AUM |
|---|---|
| Retail | $0.7 |
| Pooled | $0.0 |
| Institutional | $0.7 |
| Total | $1.4 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 405 | $0.7 |
| Average HNW AUM | $1,704,846 | |
| Retail Total | 405 | $0.7 |
| Average Retail AUM | $1,704,846 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $0.8 |
| FIDELITY DISTRIBUTORS COMPANY LLC | SMITHFIELD-RI-USA | $0.2 |
| BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $0.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.4 |
| Retail SMA AUM | $0.7 |
| Institutional SMA AUM | $0.7 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 99% | $1.4 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 1% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $1.4 |
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 |
|---|---|---|---|
| FIRST TRUST ADVISORS LP | $210.9 | 107027 | |
| VEST FINANCIAL LLC | $24.4 | 165976 | |
| STONEBRIDGE ADVISORS LLC | $10.0 | 134017 | |
| FIRST TRUST CAPITAL MANAGEMENT L.P. | $6.4 | 317825 | |
| FIRST TRUST INVESTMENT SOLUTIONS L.P. | $0.5 | 328327 | |
| FIRST TRUST GLOBAL PORTFOLIOS LIMITED | $0.2 | 169173 | |
| FIRST TRUST GLOBAL PORTFOLIOS MANAGEMENT LIMITED | $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
Representatives
2 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| PETER WEICHER | BOSTON | MA | CHARTERED FINANCIAL ANALYST | ||||||
| GERALD MOORE | BOSTON | MA | CHARTERED FINANCIAL ANALYST | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| MA, AL-03/22/2023, AZ-04/24/2024, CA-07/30/2018, CO-01/02/2024, CT-06/10/2021, DE-09/23/2024, FL-10/04/2018, GA-04/24/2024, IL-11/13/2019, IN-06/12/2023, KS-03/22/2023, KY-07/30/2018, LA-01/06/2019, MA-07/30/2018, MD-04/24/2024, ME-04/24/2024, MI-04/24/2024, MN-04/24/2024, NC-06/12/2023, NE-04/24/2024, NH-09/12/2018, NJ-01/31/2023, NY-01/02/2024, OH-05/28/2019, OK-09/04/2024, OR-09/04/2024, PA-06/12/2023, RI-09/23/2024, SC-03/16/2022, TN-11/08/2019, TX-02/22/2021, VA-06/10/2021, WA-01/02/2024, WI-06/12/2023 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV