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FIRST TRUST ADVISORS LP

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

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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 StatusApproved
Firm CRD#107027
SEC#801-39950
Assets Managed by Firm$210,879,000,000
No. of Clients2926
No. of Advisors426

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 ClientsAUM
Firm Total2926$210,879,000,000
Individuals (other than high net worth individuals)1092$389,000,000
High net worth individuals4$28,000,000
Corporations or other businesses2$7,000,000

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ENVESTNET PMC
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BALYASNY ASSET MANAGEMENT L.P.
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NUVEEN ASSET MANAGEMENT, LLC
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$239,614,971,44159703397

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