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RIA / WealthRegistered adviserasset managerSEC registeredRAUM over $100B

FIRST TRUST ADVISORS LP

CRD 107027

WHEATON, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:701fde7f-72c0-7db3-6781-85d86112585d

Data as of Apr 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 743
Dated events: 40
On other graphs: 0
Observed: Mar 30, 2012 to Apr 30, 2026
33 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.02 fund_share=0.98 institutional_share=0.0 related_bd=true related_bank=true bd_reps=152.0
Regulatory AUM: $309BItem 5.F on the latest filing (2026-04-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $233B
Private client RAUM: $5.0BderivedItem 5.D individuals plus high net worth individuals
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 608
RAUM per advisor: $509Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 542
Advisory employees: 143
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 6,316
Individual clients: 934
High net worth clients: 2,593
Private funds: 1Schedule D 7.B(1)
SEC number: 801-39950
CIK: 1125816
CRD: 107027
Filings on the tape: 33
First filed: Mar 30, 2012
Latest filed: Apr 30, 2026
Organised: Limited Partnership, IL
Website: ftsma.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 608

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ROBERT FRANKLIN CAREY	Chartered Financial Analyst	WHEATON, IL	28	40	n/a	yes
CHARLES HENRY BRADLEY	n/a	WHEATON, IL	28	30	n/a	yes
JAMES ALLEN BOWEN	n/a	WHEATON, IL	26	43	n/a	yes
ROGER FRANCIS TESTIN	Chartered Financial Analyst	WHEATON, IL	23	25	n/a	no
ERIC MILO DOEDE	n/a	WHEATON, IL	23	28	n/a	yes
CHRISTOPHER JOHN VANTIL	n/a	WHEATON, IL	21	27	n/a	yes
TIMOTHY SCOTT TRUDO	n/a	SAINT CHARLES, MO \| WHEATON, IL	17	27	n/a	yes
SEAN DEMPSEY MORIARITY	n/a	WHEATON, IL \| BOCA RATON, FL	17	37	3	yes
MICHAEL JOHN DARR	n/a	WHEATON, IL \| ROSWELL, GA	17	33	1	yes
RICHARD MICHAEL JACQUEMART	n/a	ORONO, MN \| WHEATON, IL	17	29	n/a	yes
RYAN M. EDWARDS	n/a	WHEATON, IL \| CASTLE ROCK, CO	17	22	n/a	yes
ERIC GREGG ANDERSON	n/a	WHEATON, IL	17	20	n/a	yes
JOSHUA G. GONGAWARE	n/a	CHARLOTTE, NC \| WHEATON, IL	17	22	1	yes
NICHOLAS ADAM POETZ	n/a	WHEATON, IL	17	20	n/a	yes
BENJAMIN A BURGER	n/a	WHEATON, IL	17	29	1	yes
RYAN OLAVI ISSAKAINEN	n/a	MANLIUS, NY \| WHEATON, IL	17	26	n/a	yes
NIM K SHORT	n/a	PITTSBURG, PA \| WHEATON, IL	17	27	n/a	yes
ERIC WILLIAM STOIBER	n/a	WHEATON, IL	17	21	n/a	yes
ALEXANDER P BROZYNA	n/a	NEWTOWN, PA \| WHEATON, IL	17	24	2	yes
MICHAEL JOHN NORRIS	n/a	WHEATON, IL \| TAMPA, FL	17	19	n/a	yes
BETH ANN BOGENSCHUTZ	n/a	WHEATON, IL	17	19	n/a	yes
GREGORY SCOTT SCHMIDT	n/a	WHEATON, IL \| FRANKLIN, TN	17	18	n/a	yes
MIODRAG SPASOJEVIC	n/a	WHEATON, IL	17	25	1	yes
JAMES MICHAEL HARRELL	n/a	WHEATON, IL	17	20	n/a	yes
STANLEY UELAND	n/a	WHEATON, IL	17	21	n/a	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AJM VENTURES LLC	Shareholder	E	yes	10/2010	Mar 30, 2012	Dec 2, 2024
BOWEN, JAMES, ALLEN	CHIEF EXECUTIVE OFFICER	Na	yes	12/2010	Mar 30, 2012	Dec 2, 2024
BOWEN, JAMES, ALLEN	SOLE SHAREHOLDER	E	yes	10/2010	Mar 30, 2012	Dec 2, 2024
DEHLER, KELLY, CATHERINE	CHIEF COMPLIANCE OFFICER	Na	yes	06/2021	Jun 21, 2021	Dec 2, 2024
DYKAS, JAMES, MARTIN	CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR	Na	yes	01/2016	Jan 20, 2016	Dec 2, 2024
GRACE PARTNERS OF DUPAGE L.P.	LIMITED PARTNER	E	yes	08/1991	Mar 30, 2012	Dec 2, 2024
HALL, ROBERT, SCOTT	MANAGING DIRECTOR	Na	yes	01/2002	Mar 30, 2012	Dec 2, 2024
JARDINE, WILLIAM, SCOTT	GENERAL COUNSEL	Na	yes	03/1995	Mar 30, 2012	Dec 2, 2024
LINDQUIST, DANIEL, JOEL	MANAGING DIRECTOR	Na	yes	07/2012	Mar 28, 2013	Dec 2, 2024
MCGAREL, DAVID, GERARD	MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER	Na	yes	07/2012	Mar 28, 2013	Dec 2, 2024
ROGGENSACK, ANDREW, SCOTT	President	Na	yes	12/2010	Mar 30, 2012	Dec 2, 2024
THE CHARGER CORPORATION	GENERAL PARTNER	F	yes	08/1991	Mar 30, 2012	Dec 2, 2024
THE CHARGER CORPORATION	GENERAL PARTNER	Na	yes	08/1991	Mar 30, 2012	Dec 2, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
VEST FINANCIAL LLC	n/a	Asset manager	$52B	N	yes	n/a
FIRST TRUST CAPITAL MANAGEMENT L.P.	n/a	Asset manager	$13B	N	yes	n/a
STONEBRIDGE ADVISORS LLC	n/a	Asset manager	$12B	N	yes	n/a
FIRST TRUST GLOBAL PORTFOLIOS LIMITED	n/a	Asset manager	$339M	N	yes	n/a
A1 MANAGEMENT CO. LLC	n/a	n/a	n/a	N	yes	n/a
FIRST TRUST CAPITAL PARTNERS LLC	n/a	n/a	n/a	N	yes	n/a
FIRST TRUST GLOBAL PORTFOLIOS MANAGEMENT LIMTED	n/a	n/a	n/a	N	yes	n/a
FIRST TRUST PORTFOLIOS L.P.	n/a	n/a	n/a	N	yes	n/a
VEST SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Austin	TX	United States	13	yes
Franklin	Tn	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 30, 2026	$309B	$233B	542	143	4	1	n/a
2024	Apr 22, 2025	$256B	$190B	520	125	4	1	n/a
2023	Mar 28, 2024	$211B	$154B	426	95	2	n/a	n/a
2022	Mar 31, 2023	$190B	$137B	637	86	2	n/a	n/a
2021	Mar 31, 2022	$224B	$156B	535	90	1	n/a	n/a
2020	Mar 31, 2021	$172B	$118B	560	84	1	n/a	n/a
2019	Mar 31, 2020	$145B	$92B	524	81	1	n/a	n/a
2018	Mar 29, 2019	$113B	$67B	495	74	1	n/a	n/a
2017	Mar 29, 2018	$119B	$64B	440	53	1	n/a	n/a
2016	Mar 30, 2017	$99B	$47B	435	54	n/a	n/a	n/a
2015	Mar 30, 2016	$104B	$46B	451	54	n/a	n/a	n/a
2014	Mar 31, 2015	$105B	$43B	418	56	n/a	n/a	n/a
2013	Mar 28, 2014	$85B	$34B	373	61	n/a	n/a	n/a
2012	Mar 28, 2013	$63B	$23B	189	42	n/a	n/a	n/a
2011	Mar 30, 2012	$48B	$17B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
11	8	3	1.3%	2	1	0	31	32

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$309B	$256B	20.6%	$190B	17.5%	542	520	4	4

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FIRST TRUST INVESTMENT SOLUTIONS L.P.	9	Dec 20, 2024	Dec 18, 2024	NAPLES, FL	Firm absorbed	Other	100.0%
FIRST TRUST DIRECT INDEXING	2	Dec 19, 2024	Nov 25, 2024	BOSTON, MA	Channel change	Other	100.0%
INVESCO ADVISERS, INC.	2	Apr 26, 2019	May 10, 2019	ATLANTA, GA	Team lift out	Other	0.9%
INVESCO ADVISERS, INC.	2	Apr 24, 2019	May 10, 2019	DOWNERS GROVE, IL	Team lift out	Other	0.9%
INVESCO ADVISERS, INC.	2	Mar 19, 2019	Apr 2, 2019	DOWNERS GROVE, IL	Team lift out	Other	0.9%

Relationships

showing 80 of 743

Registered with (72)

← Aakash KoduriAdvisorregistration: current employment
Sep 10, 2026 to presentfactForm ADV
← Sophia Elizabeth BrayAdvisorregistration: current employment
Sep 3, 2026 to presentfactForm ADV
← Nathaniel HarrisAdvisorregistration: current employment
Aug 27, 2026 to presentfactForm ADV
← Robert M GravesAdvisorregistration: current employment
Aug 24, 2026 to presentfactForm ADV
← Christian D DiLucchioAdvisorregistration: current employment
Aug 24, 2026 to presentfactForm ADV
← Tannor Steven GarrelsAdvisorregistration: current employment
Jul 23, 2026 to presentfactForm ADV
← Robert Geoffrey KrajeckiAdvisorregistration: current employment
Jul 21, 2026 to presentfactForm ADV
← Jacob Michael RhoadsAdvisorregistration: current employment
Jul 21, 2026 to presentfactForm ADV
← Giorgio AlessandriaAdvisorregistration: current employment
Jul 7, 2026 to presentfactForm ADV
← John Reid CurlinAdvisorregistration: current employment
Jul 6, 2026 to presentfactForm ADV
← Daniel Michael AffettoAdvisorregistration: current employment
Jul 6, 2026 to presentfactForm ADV
← Nicholas Kelly PolstonAdvisorregistration: current employment
Jul 1, 2026 to presentfactForm ADV
← Angellina DowdAdvisorregistration: current employment
Jun 24, 2026 to presentfactForm ADV
← Jay PatelAdvisorregistration: current employment
Jun 16, 2026 to presentfactForm ADV
← Andrew John HeidenthalAdvisorregistration: current employment
Jun 15, 2026 to presentfactForm ADV
← Jonathan Paul HenzeAdvisorregistration: current employment
Jun 11, 2026 to presentfactForm ADV
← Brian Michael TagueAdvisorregistration: current employment
Jun 2, 2026 to presentfactForm ADV
← James Francis GurgoneAdvisorregistration: current employment
May 20, 2026 to presentfactForm ADV
← Michael Anthony AnchetaAdvisorregistration: current employment
May 13, 2026 to presentfactForm ADV
← Ashlee Lynn RhodesAdvisorregistration: current employment
May 11, 2026 to presentfactForm ADV
← Trevor Bronson KaneAdvisorregistration: current employment
May 8, 2026 to presentfactForm ADV
← Jack DilworthAdvisorregistration: current employment
May 7, 2026 to presentfactForm ADV
← Luke Corvino DvorakAdvisorregistration: current employment
Apr 30, 2026 to presentfactForm ADV
← Benjamin Lee StokleyAdvisorregistration: current employment
Apr 30, 2026 to presentfactForm ADV
← Rustin Steven VankerAdvisorregistration: current employment
Apr 28, 2026 to presentfactForm ADV
← Steve KrullAdvisorregistration: current employment
Apr 16, 2026 to presentfactForm ADV
← William Reinhold HirschAdvisorregistration: current employment
Apr 16, 2026 to presentfactForm ADV
← WESLEY THOMAS EHLERSAdvisorregistration: current employment
Apr 14, 2026 to presentfactForm ADV
← Jordan SchroederAdvisorregistration: current employment
Apr 9, 2026 to presentfactForm ADV
← Weiland JohnsonAdvisorregistration: current employment
Mar 25, 2026 to presentfactForm ADV
and 42 more

Affiliated with (8)

← FIRST TRUST CAPITAL MANAGEMENT L.P.Registered adviserother investment adviser, bank, common control
factForm ADV
← VEST FINANCIAL LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ STONEBRIDGE ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ VEST FINANCIAL LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ FIRST TRUST GLOBAL PORTFOLIOS LTD.Registered adviserother investment adviser, bank, common control
factForm ADV
→ FIRST TRUST CAPITAL MANAGEMENT L.P.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← FIRST TRUST GLOBAL PORTFOLIOS LTD.Registered adviserother investment adviser, bank, common control
factForm ADV
← STONEBRIDGE ADVISORS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 12, 2026
Advisor changed firm
Jack Anthony Balestrieri left First Trust Advisors Lp for Wedbush Securities Inc. (registered 2026-08-24)
Form ADVobserved 6 days ago
Occurred
Feb 20, 2026
Advisor changed firm
Christopher John Jones left First Trust Advisors Lp for Amplify Etfs (registered 2026-08-10)
Form ADVobserved 6 days ago
Occurred
Feb 2, 2026
Advisor changed firm
Craig Pierce left First Trust Advisors Lp for Seia (registered 2026-02-02)
Form ADVobserved 6 days ago
Occurred
Jan 16, 2026
Advisor changed firm
Jared Stephen Todd left First Trust Advisors Lp for Veritas Private Wealth Management (registered 2026-01-08)
Form ADVobserved 6 days ago
Occurred
Jan 5, 2026
Advisor changed firm
John Aston Edmunds left First Trust Advisors Lp for Commonwealth Financial Network (registered 2026-02-06)
Form ADVobserved 6 days ago
Occurred
Dec 11, 2025
Advisor changed firm
Cory John Grebe left First Trust Advisors Lp for Booster Asset Management, Llc (registered 2025-12-12)
Form ADVobserved 6 days ago
Occurred
Nov 3, 2025
Advisor changed firm
Xhordi Xhokola left First Trust Advisors Lp for International Assets Investment Management, Llc (registered 2025-10-24)
Form ADVobserved 6 days ago
Occurred
Oct 14, 2025
Advisor changed firm
Andrew Joseph Agosta left First Trust Advisors Lp for Prosperity Financial Group, Inc. (registered 2025-10-03)
Form ADVobserved 6 days ago
Occurred
Jul 30, 2025
Advisor changed firm
Paul Edward Brandwein left First Trust Advisors Lp for Hbw Advisory Services Llc (registered 2026-03-05)
Form ADVobserved 6 days ago
Occurred
May 16, 2025
Advisor changed firm
Jacob Scott Edzards left First Trust Advisors Lp for Ubs Financial Services Inc. (registered 2025-06-26)
Form ADVobserved 6 days ago
Occurred
Apr 28, 2025
Advisor changed firm
Calvin Gross left First Trust Advisors Lp for Raymond James & Associates, Inc. (registered 2025-05-13)
Form ADVobserved 6 days ago
Occurred
Apr 9, 2025
Advisor changed firm
Mallory Nicole Moore left First Trust Advisors Lp for Gateway Financial Advisors Texas, Llc (registered 2025-08-01)
Form ADVobserved 6 days ago
Occurred
Mar 17, 2025
Advisor changed firm
Jennifer Grzeskiewicz left First Trust Advisors Lp for Wells Fargo Advisors (registered 2025-04-22)
Form ADVobserved 6 days ago
Occurred
Feb 12, 2025
Advisor changed firm
Jacob Martin Marriott left First Trust Advisors Lp for Aptus Capital Advisors, Llc (registered 2025-02-24)
Form ADVobserved 6 days ago
Occurred
Jan 27, 2025
Advisor changed firm
Tenzin Phuntsok left First Trust Advisors Lp for Aptus Capital Advisors, Llc (registered 2025-02-24)
Form ADVobserved 6 days ago
Occurred
Jan 16, 2025
Advisor changed firm
Spencer A Moore left First Trust Advisors Lp for Ubs Financial Services Inc. (registered 2025-02-12)
Form ADVobserved 6 days ago
Occurred
Jan 6, 2025
Advisor changed firm
Daniel Joseph Mckenna left First Trust Advisors Lp for Private Advisor Group, Llc (registered 2025-01-16)
Form ADVobserved 6 days ago
Occurred
Dec 20, 2024
Firm absorbed
First Trust Investment Solutions L.P.'s advisors moved to First Trust Advisors LP (Naples, FL): 9 of 9 registered, on the same day
Form ADVobserved 5 days ago
9 advisors
Occurred
Dec 19, 2024
Advisor changed firm
Roger Ivan Toledo left First Trust Advisors Lp for Lpl Financial Llc (registered 2026-03-23)
Form ADVobserved 6 days ago
Occurred
Dec 3, 2024
Advisor changed firm
Stephen Berry left First Trust Advisors Lp for Commonwealth Financial Network (registered 2025-01-30)
Form ADVobserved 6 days ago
Occurred
Oct 9, 2024
Advisor changed firm
Marissa Ferris left First Trust Advisors Lp for Morgan Stanley (registered 2025-01-02)
Form ADVobserved 6 days ago
Occurred
Aug 23, 2024
Advisor changed firm
Arthur Michael Pizzello left First Trust Advisors Lp for Raymond James Financial Services Advisors, Inc (registered 2024-08-22)
Form ADVobserved 6 days ago
Occurred
Jul 26, 2024
Advisor changed firm
Carlos M Garcia left First Trust Advisors Lp for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-06-25)
Form ADVobserved 6 days ago
Occurred
Jul 23, 2024
Advisor changed firm
John Luke Brownd left First Trust Advisors Lp for Morgan Stanley (registered 2024-07-30)
Form ADVobserved 6 days ago
Occurred
May 6, 2024
Advisor changed firm
Joseph Lance Foley left First Trust Advisors Lp for Fortiter Wealth Management, Llc (registered 2024-05-01)
Form ADVobserved 6 days ago
Occurred
Apr 17, 2024
Advisor changed firm
Estefania Gorman left First Trust Advisors Lp for Scala Capital Llc (registered 2024-07-24)
Form ADVobserved 6 days ago
Occurred
Apr 17, 2024
Advisor changed firm
David William Toellen left First Trust Advisors Lp for Toellen Capital Management, Llc (registered 2026-03-31)
Form ADVobserved 6 days ago
Occurred
Mar 28, 2024
Advisor changed firm
Aaron Michael Nichols left First Trust Advisors Lp for Atlas Fiduciary Services, Inc. (registered 2025-07-11)
Form ADVobserved 6 days ago
Occurred
Feb 21, 2024
Advisor changed firm
Christopher Albert King left First Trust Advisors Lp for Ii Technology, Llc (registered 2024-05-15)
Form ADVobserved 6 days ago
Occurred
Jan 29, 2024
Advisor changed firm
Richard Allen Johnson left First Trust Advisors Lp for Wedbush Securities Inc. (registered 2024-01-03)
Form ADVobserved 6 days ago
Occurred
Oct 13, 2023
Advisor changed firm
Anthony Robert Saba left First Trust Advisors Lp for Bahl & Gaynor Llc (registered 2024-02-28)
Form ADVobserved 6 days ago
Occurred
Oct 13, 2023
Advisor changed firm
David Anthony Juechter left First Trust Advisors Lp for Cetera Investment Advisers Llc (registered 2024-05-17)
Form ADVobserved 6 days ago
Occurred
Oct 9, 2023
Advisor changed firm
John William Mchenney left First Trust Advisors Lp for Timothy Financial Counsel, Inc. (registered 2024-01-19)
Form ADVobserved 6 days ago
Occurred
Aug 30, 2023
Advisor changed firm
William Benjamin Smith left First Trust Advisors Lp for Raymond James & Associates, Inc. (registered 2023-09-06)
Form ADVobserved 6 days ago
Occurred
Jul 10, 2023
Advisor changed firm
Jacob B Delmauro left First Trust Advisors Lp for Harbor Capital Advisors, Inc. (registered 2023-07-17)
Form ADVobserved 6 days ago
Occurred
Jun 26, 2023
Advisor changed firm
Kevin Patrick Hussey left First Trust Advisors Lp for Heritage Wealth Management Group, Ltd (registered 2023-08-10)
Form ADVobserved 6 days ago
Occurred
Mar 10, 2023
Advisor changed firm
Vincent Michael Tassone left First Trust Advisors Lp for Regional Investment Advisors, Llc (registered 2023-05-04)
Form ADVobserved 6 days ago
Occurred
Feb 16, 2023
Advisor changed firm
Christian Kiemele left First Trust Advisors Lp for Kestra Advisory Services, Llc (registered 2023-05-08)
Form ADVobserved 6 days ago

Show 2 bookkeeping events

Occurred
Mar 28, 2024
First Trust Advisors Lp reported 121 state-registered advisory representatives, down from 492 (2023-09-11 to 2024-03-28)
Occurred
Mar 31, 2023
First Trust Advisors Lp reported 492 state-registered advisory representatives, up from 114 (2022-03-31 to 2023-03-31)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:701fde7f-72c0-7db3-6781-85d86112585d
First observed: Mar 30, 2012
Last observed: Apr 30, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds 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.

FIRST TRUST ADVISORS LP

CRD 107027

WHEATON, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:701fde7f-72c0-7db3-6781-85d86112585d

Data as of Apr 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:02 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROBERT FRANKLIN CAREY

Chartered Financial Analyst

WHEATON, IL

n/a

yes

CHARLES HENRY BRADLEY

n/a

WHEATON, IL

n/a

yes

JAMES ALLEN BOWEN

n/a

WHEATON, IL

n/a

yes

ROGER FRANCIS TESTIN

Chartered Financial Analyst

WHEATON, IL

n/a

ERIC MILO DOEDE

n/a

WHEATON, IL

n/a

yes

CHRISTOPHER JOHN VANTIL

n/a

WHEATON, IL

n/a

yes

TIMOTHY SCOTT TRUDO

n/a

SAINT CHARLES, MO | WHEATON, IL

n/a

yes

SEAN DEMPSEY MORIARITY

n/a

WHEATON, IL | BOCA RATON, FL

yes

MICHAEL JOHN DARR

n/a

WHEATON, IL | ROSWELL, GA

yes

RICHARD MICHAEL JACQUEMART

n/a

ORONO, MN | WHEATON, IL

n/a

yes

RYAN M. EDWARDS

n/a

WHEATON, IL | CASTLE ROCK, CO

n/a

yes

ERIC GREGG ANDERSON

n/a

WHEATON, IL

n/a

yes

JOSHUA G. GONGAWARE

n/a

CHARLOTTE, NC | WHEATON, IL

yes

NICHOLAS ADAM POETZ

n/a

WHEATON, IL

n/a

yes

BENJAMIN A BURGER

n/a

WHEATON, IL

yes

RYAN OLAVI ISSAKAINEN

n/a

MANLIUS, NY | WHEATON, IL

n/a

yes

NIM K SHORT

n/a

PITTSBURG, PA | WHEATON, IL

n/a

yes

ERIC WILLIAM STOIBER

n/a

WHEATON, IL

n/a

yes

ALEXANDER P BROZYNA

n/a

NEWTOWN, PA | WHEATON, IL

yes

MICHAEL JOHN NORRIS

n/a

WHEATON, IL | TAMPA, FL

n/a

yes

BETH ANN BOGENSCHUTZ

n/a

WHEATON, IL

n/a

yes

GREGORY SCOTT SCHMIDT

n/a

WHEATON, IL | FRANKLIN, TN

n/a

yes

MIODRAG SPASOJEVIC

n/a

WHEATON, IL

yes

JAMES MICHAEL HARRELL

n/a

WHEATON, IL

n/a

yes

STANLEY UELAND

n/a

WHEATON, IL

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AJM VENTURES LLC

Shareholder

yes

10/2010

Mar 30, 2012

Dec 2, 2024

BOWEN, JAMES, ALLEN

CHIEF EXECUTIVE OFFICER

yes

12/2010

Mar 30, 2012

Dec 2, 2024

BOWEN, JAMES, ALLEN

SOLE SHAREHOLDER

yes

10/2010

Mar 30, 2012

Dec 2, 2024

DEHLER, KELLY, CATHERINE

CHIEF COMPLIANCE OFFICER

yes

06/2021

Jun 21, 2021

Dec 2, 2024

DYKAS, JAMES, MARTIN

CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR

yes

01/2016

Jan 20, 2016

Dec 2, 2024

GRACE PARTNERS OF DUPAGE L.P.

LIMITED PARTNER

yes

08/1991

Mar 30, 2012

Dec 2, 2024

HALL, ROBERT, SCOTT

MANAGING DIRECTOR

yes

01/2002

Mar 30, 2012

Dec 2, 2024

JARDINE, WILLIAM, SCOTT

GENERAL COUNSEL

yes

03/1995

Mar 30, 2012

Dec 2, 2024

LINDQUIST, DANIEL, JOEL

MANAGING DIRECTOR

yes

07/2012

Mar 28, 2013

Dec 2, 2024

MCGAREL, DAVID, GERARD

MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER

yes

07/2012

Mar 28, 2013

Dec 2, 2024

ROGGENSACK, ANDREW, SCOTT

President

yes

12/2010

Mar 30, 2012

Dec 2, 2024

THE CHARGER CORPORATION

GENERAL PARTNER

yes

08/1991

Mar 30, 2012

Dec 2, 2024

THE CHARGER CORPORATION

GENERAL PARTNER

yes

08/1991

Mar 30, 2012

Dec 2, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VEST FINANCIAL LLC

n/a

Asset manager

$52B

yes

n/a

FIRST TRUST CAPITAL MANAGEMENT L.P.

n/a

Asset manager

$13B

yes

n/a

STONEBRIDGE ADVISORS LLC

n/a

Asset manager

$12B

yes

n/a

FIRST TRUST GLOBAL PORTFOLIOS LIMITED

n/a

Asset manager

$339M

yes

n/a

A1 MANAGEMENT CO. LLC

n/a

yes

n/a

FIRST TRUST CAPITAL PARTNERS LLC

n/a

yes

n/a

FIRST TRUST GLOBAL PORTFOLIOS MANAGEMENT LIMTED

n/a

yes

n/a

FIRST TRUST PORTFOLIOS L.P.

n/a

yes

n/a

VEST SECURITIES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Austin

United States

yes

Franklin

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 30, 2026

$309B

$233B

542

143

n/a

2024

Apr 22, 2025

$256B

$190B

520

125

n/a

2023

Mar 28, 2024

$211B

$154B

426

n/a

2022

Mar 31, 2023

$190B

$137B

637

n/a

2021

Mar 31, 2022

$224B

$156B

535

n/a

2020

Mar 31, 2021

$172B

$118B

560

n/a

2019

Mar 31, 2020

$145B

$92B

524

n/a

2018

Mar 29, 2019

$113B

$67B

495

n/a

2017

Mar 29, 2018

$119B

$64B

440

n/a

2016

Mar 30, 2017

$99B

$47B

435

n/a

2015

Mar 30, 2016

$104B

$46B

451

n/a

2014

Mar 31, 2015

$105B

$43B

418

n/a

2013

Mar 28, 2014

$85B

$34B

373

n/a

2012

Mar 28, 2013

$63B

$23B

189

n/a

2011

Mar 30, 2012

$48B

$17B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

1.3%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$309B

$256B

20.6%

$190B

17.5%

542

520

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FIRST TRUST INVESTMENT SOLUTIONS L.P.

Dec 20, 2024

Dec 18, 2024

NAPLES, FL

Firm absorbed

Other

100.0%

FIRST TRUST DIRECT INDEXING

Dec 19, 2024

Nov 25, 2024

BOSTON, MA

Channel change

Other

100.0%

INVESCO ADVISERS, INC.

Apr 26, 2019

May 10, 2019

ATLANTA, GA

Team lift out

Other

0.9%

INVESCO ADVISERS, INC.

Apr 24, 2019

May 10, 2019

DOWNERS GROVE, IL

Team lift out

Other

0.9%

INVESCO ADVISERS, INC.

Mar 19, 2019

Apr 2, 2019

DOWNERS GROVE, IL

Team lift out

Other

0.9%