FIRST TRUST INVESTMENT SOLUTIONS L.P.

Latest filing: May 29, 2024 (325 days ago)
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AUM

$518,127,030
0% change vs. 1 year ago
0% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago

Employee Count

8
0% change vs. 1 year ago
0% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago

Main Office

NAPLES, FL
9130 GALLERIA COURT, NAPLES, FL, UNITED STATES, 34109

Client AUM

Discretion AUM
Discretionary $0.5
Non-Discretionary $0.0
Total $0.5
Client AUM
Retail $0.5
Pooled $0.0
Institutional $0.0
Total $0.5
Retail Accounts AUM
Individual 27 $0.0
Average Individual AUM $169,428
HNW 751 $0.5
Average HNW AUM $604,288
Retail Total 778 $0.5
Average Retail AUM $589,196

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM
NATIONAL FINANCIAL SERVICES LLC BOSTON-MA-USA $0.3
CHARLES SCHWAB & CO., INC. SAN FRANCISCO-CA-USA $0.1

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $0.5
Retail SMA AUM $0.5
Institutional SMA AUM $0.0
Asset Class % AUM
Equity Exch 82% $0.4
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 12% $0.1
Other Pools 3% $0.0
Cash 3% $0.0
Other 0% $0.0
Total 100% $0.5

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
STONEBRIDGE ADVISORS LLC $10.0 134017
FIRST TRUST CAPITAL MANAGEMENT L.P. $6.4 317825
FIRST TRUST GLOBAL PORTFOLIOS LIMITED $0.2 169173
VEST SECURITIES, LLC $0.0 broker-dealer 317379
FIRST TRUST CAPITAL PARTNERS LLC $0.0 -
FIRST TRUST GLOBAL PORTFOLIOS MANAGEMENT LIMITED $0.0 -
FIRST TRUST PORTFOLIOS L.P. $0.0 broker-dealer 28519

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

10 active

Name Title
KASTING, JONATHAN, G CHIEF COMPLIANCE OFFICER
BOWEN, JAMES, ALLEN SOLE SHAREHOLDER
ERNDL, KEVIN, M CHIEF INVESTMENT OFFICER
DYKAS, JAMES, MARTIN CHIEF FINANCIAL OFFICER
HUGHES, ROBERT, JAMES CHIEF EXECUTIVE OFFICER
KNIERIM, CHRISTINA, LYNNE CONTROLLER

ADVDB.CO • SOURCE: SEC

Representatives

7 active representatives found

Name City State Exams Designations
ANTHONY CIRILLO NAPLES FL S66|2016-08-25 CHARTERED FINANCIAL ANALYST
MICHAEL EGAN NAPLES FL S63|1991-04-11|S65|1994-10-04 CERTIFIED FINANCIAL PLANNER
ELLIE ELDRIDGE NAPLES FL S65|2023-12-07
GEORGE SCHMELZLE NAPLES FL S65|2023-06-30
TENZIN PHUNTSOK NAPLES FL S65|2023-05-11
ROBERT CARR NAPLES FL S66|2009-02-20
JACOB MARRIOTT NAPLES FL S66|2022-07-29

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
FL, AK-04/29/2024, AZ-09/29/2023, CA-09/29/2023, CO-09/29/2023, CT-09/29/2023, DC-09/29/2023, DE-09/29/2023, FL-09/29/2023, GA-09/29/2023, IA-12/05/2023, IL-09/29/2023, IN-09/29/2023, KY-09/29/2023, LA-09/29/2023, MA-09/29/2023, MD-09/29/2023, MI-09/29/2023, MN-09/29/2023, NC-09/29/2023, NE-09/29/2023, NH-09/29/2023, NJ-09/29/2023, NV-09/29/2023, NY-09/29/2023, OH-09/29/2023, OR-12/05/2023, PA-09/29/2023, SC-09/29/2023, TN-09/29/2023, TX-09/29/2023, VA-09/29/2023, WA-09/29/2023, WI-09/29/2023, WY-09/29/2023
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (POOLS)
PORTFOLIO MANAGEMENT (SMB)
MANAGER SELECTION
EDUCATIONAL WORKSHOPS
OTHER ACTIVITIES

ADVDB.CO • SOURCE: SEC FORM ADV