FIRST TRUST ADVISORS LP
Latest filing: Apr 22, 2025 (236 days ago)
AUM
$256,328,000,000
22% change vs. 1 year ago
15% change vs. 3 years ago
76% change vs. 5 years ago
144% change vs. 10 years ago
Employee Count
520
22% change vs. 1 year ago
-3% change vs. 3 years ago
-1% change vs. 5 years ago
24% change vs. 10 years ago
Main Office
WHEATON, IL
120 E. LIBERTY DRIVE, WHEATON, IL, UNITED STATES, 60187
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $189.9 |
| Non-Discretionary | $66.4 |
| Total | $256.3 |
| Client | AUM |
|---|---|
| Retail | $2.8 |
| Pooled | $252.5 |
| Institutional | $1.0 |
| Total | $256.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 1,183 | $0.4 |
| Average Individual AUM | $378,698 | |
| HNW | 1,744 | $2.3 |
| Average HNW AUM | $1,331,995 | |
| Retail Total | 2,927 | $2.8 |
| Average Retail AUM | $946,703 |
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 | $3.8 |
| Retail SMA AUM | $2.8 |
| Institutional SMA AUM | $1.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 86% | $3.3 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 3% | $0.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 9% | $0.3 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $0.1 |
| Other | 0% | $0.0 |
| Total | 100% | $3.8 |
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 | $39.3 | 165976 | |
| STONEBRIDGE ADVISORS LLC | $10.8 | 134017 | |
| FIRST TRUST CAPITAL MANAGEMENT L.P. | $8.2 | 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 | |||||
|---|---|---|---|---|---|---|---|---|---|
| KEVIN DENARDO | WHEATON | IL | S63|1993-03-25|S66|2008-05-23 | ||||||
| JACOB FERNANDES | WHEATON | IL | S66|2019-09-16 | ||||||
| JAMES GURGONE | WHEATON | IL | S66|2015-03-04 | ||||||
| DANIEL MALAGOLI | WHEATON | IL | S66|2021-04-16 | ||||||
| JEFFREY TEARE | WHEATON | IL | S66|2011-04-18 | ||||||
| JOHN LYNCH | WHEATON | IL | S63|1999-05-07|S65|2001-04-18 | ||||||
| JAKOB HEGGELAND | WHEATON | IL | S66|2022-08-13 | ||||||
| ANDREW DISTEL | WHEATON | IL | S66|2019-01-25 | ||||||
| KEITH LITAVSKY | WHEATON | IL | S63|1999-12-14|S66|2012-07-23 | ||||||
| ALEXANDER TARNOW | WHEATON | IL | S66|2019-01-12 | ||||||
| ADAM HACHMEISTER | WHEATON | IL | S66|2019-07-31 | ||||||
| ANTHONY BORSELLINO | WHEATON | IL | S66|2014-09-05 | ||||||
| BRIAN NIMMO | WHEATON | IL | S66|2013-09-04 | ||||||
| CESAR MARTINEZ | WHEATON | IL | S66|2008-01-28 | ||||||
| ASHLEY TOLEDO | WHEATON | IL | S66|2023-05-25 | ||||||
| MICHAEL BASIL | WHEATON | IL | S66|2014-08-08 | ||||||
| MATTHEW GRAHAM | WHEATON | IL | S63|1997-12-03|S65|2001-04-12 | ||||||
| JOSEPH CHIREMPES | WHEATON | IL | S63|1998-03-20|S66|2000-12-27 | ||||||
| HUNTER BURDICK | WHEATON | IL | S65|2017-06-07|S63|2016-11-08 | ||||||
| JAMES BRECHER | WHEATON | IL | S63|2008-02-26|S66|2014-08-29 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $256.3 | $0.0 | 0% | 520 | 0 | 0% |
| 2025-04-21 | $256.3 | $0.0 | 0% | 520 | 0 | 0% |
| 2024-04-02 | $210.9 | $45.4 | 22% | 426 | 94 | 22% |
| 2023-04-04 | $190.5 | $65.9 | 35% | 637 | -117 | -18% |
| 2022-04-01 | $223.6 | $32.8 | 15% | 535 | -15 | -3% |
| 2021-04-05 | $171.6 | $84.8 | 49% | 560 | -40 | -7% |
| 2020-04-01 | $145.5 | $110.8 | 76% | 524 | -4 | -1% |
| 2019-04-01 | $113.4 | $142.9 | 126% | 495 | 25 | 5% |
| 2018-04-02 | $118.9 | $137.4 | 115% | 440 | 80 | 18% |
| 2017-04-01 | $99.0 | $157.4 | 159% | 435 | 85 | 20% |
| 2016-04-01 | $104.2 | $152.1 | 146% | 451 | 69 | 15% |
| 2015-04-01 | $104.9 | $151.4 | 144% | 418 | 102 | 24% |
| 2014-04-01 | $85.4 | $170.9 | 200% | 373 | 147 | 39% |
| 2013-04-01 | $63.1 | $193.2 | 306% | 189 | 331 | 175% |
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