FIRST TRUST ADVISORS LP

CRD 107027 · SEC 801-39950

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120 E. LIBERTY DRIVE, SUITE 400, WHEATON, IL, 60187, United States

Phone

630-765-8000

Fax

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Registration

Registered (APPROVED)

Source

SEC registered

Total AUM

$309.24B

Discretionary AUM

$232.69B

Team

542 total employees; 143 advisory reps

Clients

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Fees

Percentage of AUM; Performance-based fees; FIXED FEES PER UNIT (UITS) FOR PORTFOLIO SUPERVISORY SERVICES

Org form

Limited Partnership

Filing date

2026-04-30

Disciplinary history

Yes

Services

Portfolio management (individuals)Portfolio management (investment companies)Portfolio management (pooled vehicles)Portfolio management (institutions)Selection of other advisersPublication of periodicals

Client types

Type	Clients	AUM
Individuals	934	$317.0M
High net worth individuals	2593	$4.66B
Investment companies	1954	$297.51B
Pooled investment vehicles	80	$5.05B
Charitable organizations	52	$1.11B
Corporations/business entities	118	$594.0M

States served

VT, AL, AK, AZ, AR, CA, CO, DE, DC, GA, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MT, NE, NV, NJ, NM, NY, NC, ND, OH, OK, OR, PA, RI, SC, TN, UT, VA, WV, WI, WY, MO, WA, TX, NH, HI, CT, FL, SD

All web addresses on file

Official SEC filing: View on IAPD