FIRST TRUST ADVISORS LP
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FIRST TRUST ADVISORS LP
(CRD# 107027)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Wheaton, IL.
The SEC approved the firm to operate as an RIA in
Oct 1991.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$113.4 Billion,
with discretion over
59%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
1%
.
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FIRST TRUST ADVISORS LP
also reported in
Mar 2019
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495
employees,
with
74
performing advisory functions.
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A total of 2 office locations.
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Registration with one or more foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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FIRST TRUST ADVISORS LP has no disclosure events reported to the SEC at this time.
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FIRST TRUST ADVISORS LP has Notice Filings with the following State Securities Authorities: AK-Oct 2001, AL-Apr 2006, AR-Apr 2007, AZ-Jun 2000, CA-May 20
, CO-Jan 2002, CT-Aug 2005, DC-Feb 2006, DE-Jun 2013, FL-Sep 1
, GA-Jan 2002, HI-Jun 2013, IA-Aug 2005, ID-Jan 2002, IL-May 1
, IN-Feb 2001, KS-Sep 1992, KY-Jan 2005, LA-Jan 2005, MA-Jan 2
, MD-May 2005, ME-Nov 2007, MI-Jan 2002, MN-Jan 2002, MO-Aug 1
, MS-Apr 2004, MT-Sep 2005, NC-Apr 2004, ND-Jun 2013, NE-Apr 2
, NH-Apr 2007, NJ-Apr 2000, NM-Apr 2000, NV-Apr 2000, NY-Apr 2
, OH-Jan 2002, OK-Sep 2003, OR-Apr 2000, PA-Nov 2003, RI-Jun 2
, SC-Apr 2005, SD-Jan 2008, TN-Jan 2002, TX-May 2000, UT-Apr 2
, VA-Jan 2002, VT-Jan 2005, WA-Jun 2000, WI-Jul 1992, WV-Aug 2
, WY-Jul 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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