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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

FIRST TRUST INVESTMENT SOLUTIONS L.P.

CRD 328327

NAPLES, FL

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Search this name across graphsid dfx:ria:bd7cb877-10e8-f54d-d3f7-3c91d89de4d2

Data as of May 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 31
Dated events: 5
On other graphs: 0
Observed: Sep 3, 2023 to May 29, 2024
6 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $518MItem 5.F on the latest filing (2024-05-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $518M
Private client RAUM: $458MderivedItem 5.D individuals plus high net worth individuals
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 7
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 800
Individual clients: 27
High net worth clients: 751
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $47.9Mgross asset value as reported per fund; never fund size
SEC number: 801-128828
CRD: 328327
Filings on the tape: 6
First filed: Sep 3, 2023
Latest filed: May 29, 2024
Organised: Limited Partnership, Illinois

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
FTIS ENHANCED LIQUID INCOME FUND MASTER FUND, LP	Hedge Fund	$47.9M	May 29, 2024	61	Nov 2, 2022	reported	021-463304

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	Sep 3, 2023	May 29, 2024
BOWEN, JAMES, ALLEN	SOLE SHAREHOLDER	E	yes	10/2010	Sep 3, 2023	May 29, 2024
CARR, ROBERT	CHIEF OPERATIONS OFFICER	Na	yes	08/2023	May 29, 2024	May 29, 2024
DYKAS, JAMES, MARTIN	CHIEF FINANCIAL OFFICER	Na	yes	08/2023	Sep 3, 2023	May 29, 2024
ERNDL, KEVIN, M	CHIEF INVESTMENT OFFICER	Na	yes	08/2023	Sep 3, 2023	May 29, 2024
GRACE PARTNERS OF DUPAGE L.P.	LIMITED PARTNER	E	yes	08/2023	Sep 3, 2023	May 29, 2024
Hughes, Robert, James	CHIEF EXECUTIVE OFFICER	Na	yes	08/2023	Sep 3, 2023	May 29, 2024
THE CHARGER CORPORATION	GENERAL PARTNER	Na	yes	08/2023	Sep 3, 2023	May 29, 2024
THE CHARGER CORPORATION	GENERAL PARTNER	F	yes	08/1991	Sep 3, 2023	May 29, 2024
Kasting, Jonathan, G	CHIEF COMPLIANCE OFFICER	Na	no	08/2023	Sep 3, 2023	May 29, 2024
KNIERIM, CHRISTINA, LYNNE	Controller	Na	no	08/2023	Sep 3, 2023	May 29, 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
FIRST TRUST ADVISORS LP	n/a	Asset manager	$309B	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
FIRST TRUST CAPITAL PARTNERS LLC	n/a	n/a	n/a	Y	no	n/a
FIRST TRUST GLOBAL PORTFOLIOS MANAGEMENT LIMITED	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

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 29, 2024	$518M	$518M	8	7	0	1	$47.9M

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
2023	$518M	n/a	n/a	n/a	n/a	8	n/a	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FIRST TRUST ADVISORS LP	9	Dec 20, 2024	Dec 18, 2024	NAPLES, FL	Firm absorbed	Other	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GYROSCOPE CAPITAL MANAGEMENT GROUP LLC	5	Dec 7, 2023	Oct 11, 2023	NAPLES, FL	Firm absorbed	RIA to RIA	83.3%

Relationships

Affiliated with (8)

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

Advises (1)

→ FTIS ENHANCED LIQUID INCOME FUND MASTER FUND, LPPrivate fundHedge Fund, IA
Nov 2, 2022 to presentfactForm ADV

Controls (8)

← BOWEN, JAMES, ALLENOwnerSOLE SHAREHOLDER, ownership code E, individual
Sep 3, 2023 to presentfactForm ADV
← DYKAS, JAMES, MARTINOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Sep 3, 2023 to presentfactForm ADV
← Hughes, Robert, JamesOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Sep 3, 2023 to presentfactForm ADV
← ERNDL, KEVIN, MOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Sep 3, 2023 to presentfactForm ADV
← CARR, ROBERTOwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
May 29, 2024 to presentfactForm ADV
← AJM VENTURES LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Sep 3, 2023 to presentfactForm ADV
← GRACE PARTNERS OF DUPAGE L.P.OwnerLIMITED PARTNER, ownership code E, domestic entity
Sep 3, 2023 to presentfactForm ADV
← THE CHARGER CORPORATIONOwnerGENERAL PARTNER, ownership code F, domestic entity
Sep 3, 2023 to presentfactForm ADV

Owns (2)

← KNIERIM, CHRISTINA, LYNNEOwnerCONTROLLER, ownership code NA, individual
Sep 3, 2023 to presentfactForm ADV
← Kasting, Jonathan, GOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 3, 2023 to presentfactForm ADV

Registered with (9)

← michael eganAdvisorregistration: previous registration
Oct 17, 2023 to Dec 20, 2024factForm ADV
← Kevin Michael ErndlAdvisorregistration: previous registration
Jun 10, 2024 to Dec 20, 2024factForm ADV
← Robert M CarrAdvisorregistration: previous registration
Oct 9, 2023 to Dec 20, 2024factForm ADV
← Garrett KomiskeyAdvisorregistration: previous registration
Aug 12, 2024 to Dec 20, 2024factForm ADV
← Anthony Louis CirilloAdvisorregistration: previous registration
Oct 11, 2023 to Dec 20, 2024factForm ADV
← George SchmelzleAdvisorregistration: previous registration
Oct 6, 2023 to Dec 20, 2024factForm ADV
← Jacob Martin MarriottAdvisorregistration: previous registration
Oct 9, 2023 to Dec 20, 2024factForm ADV
← Tenzin PhuntsokAdvisorregistration: previous registration
Oct 6, 2023 to Dec 20, 2024factForm ADV
← Ellie Marie EldridgeAdvisorregistration: previous registration
Dec 23, 2023 to Dec 20, 2024factForm ADV

Moved with (2)

→ FIRST TRUST ADVISORS LPRegistered adviser9 advisors, firm absorbed, same day
Dec 20, 2024 to Dec 18, 2024factForm ADV
← GYROSCOPE CAPITAL MANAGEMENT GROUP LLCRegistered adviser5 advisors, firm absorbed, same day
Dec 7, 2023 to Oct 11, 2023factForm ADV

Dated events

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
May 29, 2024
Control person joined
Robert Carr (Chief Operations Officer) appeared on Schedule A of First Trust Investment Solutions L.P.
Form ADVobserved 5 days ago
Occurred
Dec 7, 2023
Firm absorbed
Gyroscope Capital Management Group LLC's advisors moved to First Trust Investment Solutions L.P. (Naples, FL): 5 of 6 registered, on the same day
Form ADVobserved 5 days ago
5 advisors
Occurred
Sep 3, 2023
Succession filed (Item 4)
First Trust Investment Solutions L.P. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
Sep 3, 2023
First Form ADV filing
First Trust Investment Solutions L.P. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bd7cb877-10e8-f54d-d3f7-3c91d89de4d2
First observed: Sep 3, 2023
Last observed: May 29, 2024 28 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 INVESTMENT SOLUTIONS L.P.

CRD 328327

NAPLES, FL

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:bd7cb877-10e8-f54d-d3f7-3c91d89de4d2

Data as of May 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:39 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

FTIS ENHANCED LIQUID INCOME FUND MASTER FUND, LP

Hedge Fund

$47.9M

May 29, 2024

Nov 2, 2022

reported

021-463304

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AJM VENTURES LLC

Shareholder

yes

10/2010

Sep 3, 2023

May 29, 2024

BOWEN, JAMES, ALLEN

SOLE SHAREHOLDER

yes

10/2010

Sep 3, 2023

May 29, 2024

CARR, ROBERT

CHIEF OPERATIONS OFFICER

yes

08/2023

May 29, 2024

DYKAS, JAMES, MARTIN

CHIEF FINANCIAL OFFICER

yes

08/2023

Sep 3, 2023

May 29, 2024

ERNDL, KEVIN, M

CHIEF INVESTMENT OFFICER

yes

08/2023

Sep 3, 2023

May 29, 2024

GRACE PARTNERS OF DUPAGE L.P.

LIMITED PARTNER

yes

08/2023

Sep 3, 2023

May 29, 2024

Hughes, Robert, James

CHIEF EXECUTIVE OFFICER

yes

08/2023

Sep 3, 2023

May 29, 2024

THE CHARGER CORPORATION

GENERAL PARTNER

yes

08/2023

Sep 3, 2023

May 29, 2024

THE CHARGER CORPORATION

GENERAL PARTNER

yes

08/1991

Sep 3, 2023

May 29, 2024

Kasting, Jonathan, G

CHIEF COMPLIANCE OFFICER

08/2023

Sep 3, 2023

May 29, 2024

KNIERIM, CHRISTINA, LYNNE

Controller

08/2023

Sep 3, 2023

May 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FIRST TRUST ADVISORS LP

n/a

Asset manager

$309B

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

FIRST TRUST CAPITAL PARTNERS LLC

n/a

FIRST TRUST GLOBAL PORTFOLIOS MANAGEMENT LIMITED

n/a

yes

n/a

FIRST TRUST PORTFOLIOS L.P.

n/a

yes

n/a

VEST SECURITIES, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 29, 2024

$518M

$47.9M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$518M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FIRST TRUST ADVISORS LP

Dec 20, 2024

Dec 18, 2024

NAPLES, FL

Firm absorbed

Other

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GYROSCOPE CAPITAL MANAGEMENT GROUP LLC

Dec 7, 2023

Oct 11, 2023

NAPLES, FL

Firm absorbed

RIA to RIA

83.3%