This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

FIRST TRUST ADVISORS LP

Current firm class

asset managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jun 2, 2009earliest registration or exam on IAPD

Years in industry

17derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S66|S65

First exam

Jun 2, 2009

First registration

Jun 3, 2009

Dual registered

yes, broker-dealer

IAPD individual key

5643438

Graph

RIA / Wealth Management

Canonical id

dfx:ria:2228d3e8-1048-b296-21a8-504922fa4e3d

First observed

Jun 3, 2009

Last observed

Sep 15, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.