FIRST TRUST ADVISORS LP

120 E. Liberty Drive
Suite 400
Wheaton, Illinois 60187
Tel: 630-765-8000

About FIRST TRUST ADVISORS LP

FIRST TRUST ADVISORS LP, formally registered with the SEC as FIRST TRUST ADVISORS LP. The firm was established in 10/04/1991. They have over 3 offices throughout the country.

FIRST TRUST ADVISORS LP is a Wheaton, Illinois based Financial Planning firm with nearly $210,879,000,000 assets under management, offering retirement planning & investment advisory services to 2926 clients. The firm is staffed with 426 experienced financial planners.

Firm Information

SEC Current Status	Approved
Firm CRD#	107027
SEC#	801-39950
Assets Managed by Firm	$210,879,000,000
No. of Clients	2926
No. of Advisors	426

Fee Structure

A percentage of AUM
Other (FIXED FEES PER UNIT (UITS) FOR PORTFOLIO SUPERVISORY SERVICES)

Advisory Services Provided

Portfolio management for individuals and/or small businesses
Portfolio management for investment companies
Portfolio management for pooled investment vehicles
Portfolio management for businesses or institutional clients
Selection for other advisors
Publication of periodicals and newsletters

Firm Client Information

	No. of Clients	AUM
Firm Total	2926	$210,879,000,000
Individuals (other than high net worth individuals)	1092	$389,000,000
High net worth individuals	4	$28,000,000
Corporations or other businesses	2	$7,000,000

More Retirement Planning firms in Wheaton, Illinois:

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PACIFIC INVESTMENT MANAGEMENT COMPANY LLC 650 Newport Center Drive Newport Beach, CA, 92660	$2,615,929,249,500	2811	3194
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC 211 Main Street San Francisco, CA, 94105	$1,098,805,397,188	304509	857
FRANKLIN ADVISERS, INC. One Franklin Parkway, Building 970, 1st Floor San Mateo, CA, 94403	$467,015,634,913	18979	408

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