FIRST TRUST ADVISORS LP

WHEATON, Illinois·7 registered advisors·CRD# 107027
SEC# 801-399502630-765-8000
01

Firm Overview

AUM
$210.9B
Regulatory assets under management
Employees
426
Total firm employees
Advisors
7
Registered representatives
02

Services & Fees

Advisory Services
Portfolio management (individuals)
Portfolio management (pooled investments)
Pension consulting
Selection of other advisers
Security ratings or pricing services
Market timing services
Compensation
Percentage of AUM
Other: FIXED FEES PER UNIT (UITS) FOR PORTFOLIO SUPERVISORY SERVICES
03

Specialties

Investment ManagementRetirement PlanningWealth Management
04

Advisors at FIRST TRUST ADVISORS LP

7 registered advisors
Andrew Scott Roggensack
WHEATON, Illinois
Daniel Joel Lindquist
WHEATON, Illinois
Kathleen Wieland Brown
WHEATON, Illinois
Kelly Catherine Dehler
WHEATON, Illinois
Robert Franklin Carey
WHEATON, Illinois
Robert Scott Hall
WHEATON, Illinois
Ronald Dean Mcalister
WHEATON, Illinois
05

Office Locations

WHEATON, Illinois
7 advisors

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Data sourced from SEC Form ADV filings. FIRST TRUST ADVISORS LP (CRD# 107027) is registered with the SEC as an investment adviser. View the firm's full regulatory filing at adviserinfo.sec.gov.