FIRST TRUST ADVISORS LP

Latest filing: Apr 22, 2025 (72 days ago)

View on IAPD

Adviser Website

Adviser

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 IAPD Broker	GENERAL COUNSEL
HALL, ROBERT, SCOTT IAPD Broker	MANAGING DIRECTOR
BOWEN, JAMES, ALLEN IAPD Broker	SOLE SHAREHOLDER, CHIEF EXECUTIVE OFFICER
ROGGENSACK, ANDREW, SCOTT IAPD Broker	PRESIDENT
MCGAREL, DAVID, GERARD IAPD Broker	MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER, CHIEF OPERATING OFFICER
LINDQUIST, DANIEL, JOEL IAPD Broker	MANAGING DIRECTOR
DYKAS, JAMES, MARTIN IAPD Broker	CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR
DEHLER, KELLY, CATHERINE IAPD Broker	CHIEF COMPLIANCE OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

526 active representatives found, showing 20 random

Name	City	State	Exams	Designations
HENRY NELSON	WHEATON	IL	S63\|2018-08-10\|S66\|2023-04-03
KEVIN DENARDO	WHEATON	IL	S63\|1993-03-25\|S66\|2008-05-23
MICHAEL DARR	WHEATON	IL	S63\|1993-08-03\|S66\|2005-10-19
SEAN BIDDINGER	WHEATON	IL	S63\|2007-07-31\|S65\|2015-10-19
DOUGLAS BOTTARO	WHEATON	IL	S66\|2013-04-01
JONATHAN HOOTMAN	WHEATON	IL	S66\|2022-07-23
LEONARD FOX	WHEATON	IL	S63\|2013-12-12\|S66\|2015-10-29
BRIAN TAYLOR	WHEATON	IL	S63\|1997-02-10\|S65\|1997-06-20
DAVID ROTH	WHEATON	IL	S66\|2023-05-18
JUSTIN ESCHENBURG	WHEATON	IL	S66\|2007-10-04
WYATT WINSLOW	WHEATON	IL	S63\|2007-11-29\|S66\|2013-01-28
GENEVIEVE FUHRMAN	WHEATON	IL	S63\|2008-12-09\|S65\|2011-06-14
CHRISTOPHE SCHWEIGHARDT	WHEATON	IL	S63\|2014-05-14\|S65\|2017-06-15
IRVIN SIGLER	WHEATON	IL	S66\|2020-08-08
CALVIN GROSS	WHEATON	IL	S63\|2017-06-02	CERTIFIED FINANCIAL PLANNER
BLAKE NYSTROM	WHEATON	IL	S63\|2012-07-20\|S66\|2017-07-27
JONATHON DIGIOVANNI	WHEATON	IL	S63\|2010-10-05\|S65\|2011-02-18
KEITH CONLEY	WHEATON	IL	S63\|2004-04-28\|S65\|1993-03-12
DEREK SCHICHT	WHEATON	IL	S63\|1996-08-23\|S65\|2010-03-17
JAMES GURGONE	WHEATON	IL	S66\|2015-03-04

ADVDB.CO • SOURCE: SEC

History

Date	AUM	AUM ∆	AUM % ∆	Empl	Empl ∆	Empl % ∆
2025-06-02	$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