DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
First Trust Advisors LP
Latest filing Apr 30, 2026
First filing on the tape Mar 30, 2012 · 33 filings
SEC status approved since Oct 4, 1991
RAUM
$309B
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
1.6%
$5.0B individuals and HNW
Advisors
608
registered through the firm on IAPD
RAUM per advisor
$509M
derived; firm RAUM over IAPD count
Employees
542
143 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
1
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$309B as of Apr 30, 2026
Mar 30, 2012$48B then
HNW client RAUM$4.7B as of Apr 30, 2026
Mar 29, 2018$35.0M then
State-registered IARs (5.B.3)96 as of Apr 30, 2026
Mar 30, 20120 then
Employees (5.A)542 as of Apr 30, 2026
Mar 28, 2013189 then
Private funds1 as of Apr 30, 2026
Apr 22, 20251 then
RAUM +21% over the last fiscal year+18% a year over threeIARs 106 to 96
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $509MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $49.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 121.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -9.4%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, publicationsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$298B96%
- Pooled investment vehicles$5.1B1.6%
- High-net-worth individuals$4.7B1.5%
- Charitable organizations$1.1B0.4%
- Corporations and businesses$594M0.2%
- Individuals$317M0.1%
- Individual clients
- 934reported
- HNW clients
- 2,593reported
- Pension plan clients
- n/areported
- Charitable clients
- 52reported
- Accounts
- 6,316reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $2.8B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.02 fund_share=0.98 institutional_share=0.0 related_bd=true related_bank=true bd_reps=152.0derived
Advisors registered through the firm
608 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Charles Henry Bradley | Wheaton, Il | May 6, 1998 | 30 y | 0 |
| Robert Franklin CareyChartered Financial Analyst | Wheaton, Il | May 6, 1998 | 40 y | 0 |
| James Allen Bowen | Wheaton, Il | May 6, 2000 | 43 y | 0 |
| Roger Francis TestinChartered Financial Analyst | Wheaton, Il | Jan 7, 2003 | 25 y | 0 |
| Eric Milo Doede | Wheaton, Il | Jun 5, 2003 | 28 y | 0 |
| Christopher John Vantil | Wheaton, Il | May 6, 2005 | 27 y | 0 |
| Timothy Scott Trudo | Saint Charles, Mo | Oct 20, 2008 | 27 y | 0 |
| Michael John Darr | Wheaton, Il | Oct 22, 2008 | 33 y | 1 |
| Ryan M. Edwards | Wheaton, Il | Oct 22, 2008 | 22 y | 0 |
| Sean Dempsey Moriarity | Wheaton, Il | Oct 22, 2008 | 37 y | 3 |
| Richard Michael Jacquemart | Orono, Mn | Oct 22, 2008 | 29 y | 0 |
| Eric Gregg Anderson | Wheaton, Il | Oct 23, 2008 | 20 y | 0 |
| Joshua G. Gongaware | Charlotte, Nc | Nov 21, 2008 | 22 y | 1 |
| Nicholas Adam Poetz | Wheaton, Il | Jan 2, 2009 | 20 y | 0 |
| Benjamin A Burger | Wheaton, Il | Mar 12, 2009 | 29 y | 1 |
| Ryan Olavi Issakainen | Manlius, Ny | Mar 13, 2009 | 26 y | 0 |
| Nim K Short | Pittsburg, Pa | Mar 17, 2009 | 27 y | 0 |
| Eric William Stoiber | Wheaton, Il | Mar 18, 2009 | 21 y | 0 |
| Alexander P Brozyna | Newtown, Pa | Mar 19, 2009 | 24 y | 2 |
| Beth Ann Bogenschutz | Wheaton, Il | Mar 23, 2009 | 19 y | 0 |
| Michael John Norris | Wheaton, Il | Mar 23, 2009 | 19 y | 0 |
| Gregory Scott Schmidt | Wheaton, Il | Mar 23, 2009 | 18 y | 0 |
| Miodrag Spasojevic | Wheaton, Il | Mar 26, 2009 | 25 y | 1 |
| James Michael Harrell | Wheaton, Il | Mar 26, 2009 | 20 y | 0 |
| Stanley Ueland | Wheaton, Il | Mar 27, 2009 | 21 y | 0 |
| Robert Leo Derochie | Wheaton, Il | Apr 24, 2009 | 22 y | 2 |
| Peter Andrew Spokes | Wheaton, Il | Sep 2, 2009 | 17 y | 0 |
| George Morgan Palmer | Wheaton, Il | Oct 22, 2009 | 20 y | 0 |
| Tobin Matthew Crowder | Wheaton, Il | Nov 19, 2009 | 31 y | 1 |
| Michael Wayne York | Wheaton, Il | Jan 11, 2010 | 25 y | 2 |
| Stephen John Yock | Wheaton, Il | Jan 11, 2010 | 27 y | 2 |
| Todd J Marshall | Wheaton, Il | Jun 21, 2010 | 20 y | 0 |
| Nathan Carlson | Wheaton, Il | Jul 12, 2010 | 21 y | 1 |
| Zachary Ryan Ullrich | Birmingham, Mi | Oct 27, 2010 | 18 y | 0 |
| Marie Elizabeth Mcclughen | Wheaton, Il | Jan 25, 2011 | 19 y | 0 |
| Eric Rhodes MaiselChartered Financial Analyst | Wheaton, Il | Mar 16, 2011 | 32 y | 1 |
| Lauren Beth Lang | Wheaton, Il | Apr 6, 2011 | 19 y | 0 |
| Jon C EricksonChartered Financial Analyst | Wheaton, Il | May 18, 2011 | 32 y | 0 |
| David Gerard McgarelChartered Financial Analyst | Wheaton, Il | May 18, 2011 | 29 y | 0 |
| Todd Ward LarsonChartered Financial Analyst | Wheaton, Il | May 23, 2011 | 28 y | 0 |
Advisor movement
8 left, 11 joined in 12 months
net +3 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 1.3% of current headcount32 left over 36 months
Left, latest
- Jack Anthony Balestrieri to Wedbush Securities Inc.Aug 12, 2026 · Other
- Christopher John Jones to Amplify EtfsFeb 20, 2026 · Other
- Craig Pierce to SeiaFeb 2, 2026 · Other
- Jared Stephen Todd to Veritas Private Wealth ManagementJan 16, 2026 · Other
- John Aston Edmunds to Commonwealth Financial NetworkJan 5, 2026 · Other
- Cory John Grebe to Booster Asset Management, LLCDec 11, 2025 · Other
- Xhordi Xhokola to International Assets Investment Management, LLCNov 3, 2025 · Other
- Andrew Joseph Agosta to Prosperity Financial Group, Inc.Oct 14, 2025 · Other
- Paul Edward Brandwein to Hbw Advisory Services LLCJul 30, 2025 · Other
- Jacob Scott Edzards to UBS Financial Services Inc.May 16, 2025 · Other
- Calvin Gross to Raymond James & Associates, Inc.Apr 28, 2025 · Other
- Mallory Nicole Moore to Gateway Financial Advisors Texas, LLCApr 9, 2025 · Other
- Jennifer Grzeskiewicz to Wells Fargo AdvisorsMar 17, 2025 · Other
- Jacob Martin Marriott to Aptus Capital Advisors, LLCFeb 12, 2025 · Other
- Tenzin Phuntsok to Aptus Capital Advisors, LLCJan 27, 2025 · Other
Joined, latest
- Nicholas Kelly Polston from Morgan StanleyJul 1, 2026 · Other
- Angellina Dowd from Morgan StanleyJun 24, 2026 · Other
- Trevor Bronson Kane from Leelyn Smith, LLCMay 8, 2026 · Other
- Wesley Thomas Ehlers from Sii Investments, Inc.Apr 14, 2026 · Other
- Steven Christopher Ruta from Neuberger Berman Bd LLCMar 16, 2026 · Other
- Paul Bello from Strategic Advisers LLCMar 6, 2026 · Other
- Jared Ellis from J.P. Morgan Securities LLCFeb 25, 2026 · Other
- Grant Falite from Falite Capital Management LLCDec 15, 2025 · Other
- Seth Downs from LPL Enterprise, LLCNov 21, 2025 · Other
- Bradley James Ferrell from Osaic Fa, Inc.Nov 8, 2025 · Other
- Brett P Robinson from Highpoint Advisor Group, LLCOct 29, 2025 · Other
- Steven Paul Fraley from Innovest Portfolio Solutions LLCAug 26, 2025 · Other
- Alexander Ford Bouton from Gyroscope Capital Management Group LLCJul 10, 2025 · Other
- Michael Steven Strizak from Lord, Abbett & Co. LLCJul 2, 2025 · Other
- Alex Kendall Mager from Ameriprise Financial Services, LLCJun 25, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 9 joined from First Trust Investment Solutions L.P.Dec 20, 2024 · Naples, Fl · Firm absorbed
- 2 joined from Invesco Advisers, Inc.Apr 26, 2019 · Atlanta, Ga
- 2 joined from Invesco Advisers, Inc.Apr 24, 2019 · Downers Grove, Il
- 2 joined from Invesco Advisers, Inc.Mar 19, 2019 · Downers Grove, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Allen James Bowen · Chief Executive Officercontrolsince 12/2010 · owns less than 5%
- Catherine Kelly Dehler · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- Martin James Dykas · Chief Financial Officer / Managing Directorcontrolsince 01/2016 · owns less than 5%
- Scott Robert Hall · Managing Directorcontrolsince 01/2002 · owns less than 5%
- Scott William Jardine · General Counselcontrolsince 03/1995 · owns less than 5%
- Joel Daniel Lindquist · Managing Directorcontrolsince 07/2012 · owns less than 5%
- Gerard David Mcgarel · Managing Director/Chief Investment Officercontrolsince 07/2012 · owns less than 5%
- Scott Andrew Roggensack · Presidentcontrolsince 12/2010 · owns less than 5%
- Allen James Bowen · Sole Shareholdercontrolsince 10/2010 · owns 75% or more of Ajm Ventures LLC
Entity owners
- Grace Partners Of Dupage L.P. · Limited Partnerdirect · owns 75% or more
- The Charger Corporation · General Partnerdirect · owns less than 5%
- Ajm Ventures LLC · Shareholderindirect · owns 75% or more of The Charger Corporation
- The Charger Corporation · General Partnerindirect · owns F of Grace Partners Of Dupage L.P.
Related persons
Schedule D 7.A
- A1 Management Co. LLCinvestment advisern
- First Trust Capital Management L.P.investment adviserbankpooled vehicle sponsornRAUM $13B
- First Trust Capital Partners LLCn
- First Trust Global Portfolios Ltd.investment adviserbanknRAUM $339M
- First Trust Global Portfolios Management Limtedpooled vehicle sponsorn
- First Trust Portfolios L.P.broker-dealerpooled vehicle sponsorn
- Stonebridge Advisors LLCinvestment advisernRAUM $12B
- Vest Financial LLCinvestment adviserbanknRAUM $52B
- Vest Securities, LLCbroker-dealern
Advisers that list First Trust Advisors LP as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wheaton, Il · principal | 607 | 51 | 4 | ||
| Austin, Tx | 65 | 11 | 1 | ||
| Franklin, Tn | 50 | 8 | 0 | ||
| Naples, Fl | 13 | 2 | 0 | ||
| Boston, Ma | 9 | 3 | 0 | ||
| Chicago, Il | 6 | 0 | 0 | ||
| Dallas, Tx | 5 | 0 | 0 | ||
| Raleigh, Nc | 4 | 0 | 0 | ||
| Tampa, Fl | 3 | 0 | 0 | ||
| San Francisco, Ca | 3 | 0 | 0 | ||
| Nashville, Tn | 3 | 0 | 0 | ||
| New York, Ny | 3 | 0 | 0 | ||
| Elmhurst, Il | 3 | 0 | 0 | ||
| Las Vegas, Nv | 3 | 0 | 0 | ||
| Phoenix, Az | 3 | 0 | 0 | ||
| Birmingham, Mi | 3 | 0 | 0 | ||
| Jersey City, Nj | 2 | 0 | 0 | ||
| Lake Oswego, Or | 2 | 0 | 0 | ||
| Lincroft, Nj | 2 | 1 | 0 | ||
| Miami, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Austin, TX13 employees
- Franklin, TN1 employees
What changed
consecutive filings, newest first
- Accounts · 5,033 to 6,316Dec 3, 2025 to Mar 31, 2026
- Advisory employees · 125 to 143Dec 3, 2025 to Mar 31, 2026
- BD registered reps · 168 to 152Dec 3, 2025 to Mar 31, 2026
- Charity clients · 62 to 52Dec 3, 2025 to Mar 31, 2026
- Corporate clients · 85 to 118Dec 3, 2025 to Mar 31, 2026
- HNW clients · 1,744 to 2,593Dec 3, 2025 to Mar 31, 2026
- Individual clients · 1,183 to 934Dec 3, 2025 to Mar 31, 2026
- Pooled vehicle clients · 64 to 80Dec 3, 2025 to Mar 31, 2026
- Employees · 520 to 542Dec 3, 2025 to Mar 31, 2026
- Insurance-licensed employees · 1 to 0Dec 3, 2025 to Mar 31, 2026
- State-registered IARs · 106 to 96Dec 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $190B to $233BDec 3, 2025 to Mar 31, 2026
- HNW RAUM · $2.3B to $4.7BDec 3, 2025 to Mar 31, 2026
- Individual RAUM · $448M to $317MDec 3, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $66B to $77BDec 3, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.6B to $5.1BDec 3, 2025 to Mar 31, 2026
- RAUM · $256B to $309BDec 3, 2025 to Mar 31, 2026
- Wrap assets (manager) · $1.2B to $2.8BDec 3, 2025 to Mar 31, 2026
- Accounts · 2,926 to 5,033Dec 2, 2024 to Apr 22, 2025
- Advisory employees · 95 to 125Dec 2, 2024 to Apr 22, 2025
- BD registered reps · 77 to 168Dec 2, 2024 to Apr 22, 2025
- Charity clients · unset to 62.0Dec 2, 2024 to Apr 22, 2025
- Corporate clients · 2 to 85Dec 2, 2024 to Apr 22, 2025
- HNW clients · 4 to 1,744Dec 2, 2024 to Apr 22, 2025
- Individual clients · 1,092 to 1,183Dec 2, 2024 to Apr 22, 2025
- Pooled vehicle clients · 50 to 64Dec 2, 2024 to Apr 22, 2025
- Employees · 426 to 520Dec 2, 2024 to Apr 22, 2025
- Insurance-licensed employees · 0 to 1Dec 2, 2024 to Apr 22, 2025
- Financial planning clients · unset to Dec 2, 2024 to Apr 22, 2025
- State-registered IARs · 121 to 106Dec 2, 2024 to Apr 22, 2025
- Other offices · 2 to 4Dec 2, 2024 to Apr 22, 2025
- Private funds · unset to 1Dec 2, 2024 to Apr 22, 2025
- Discretionary RAUM · $154B to $190BDec 2, 2024 to Apr 22, 2025
- HNW RAUM · $28.0M to $2.3BDec 2, 2024 to Apr 22, 2025
- Individual RAUM · $389M to $448MDec 2, 2024 to Apr 22, 2025
- Non-discretionary RAUM · $57B to $66BDec 2, 2024 to Apr 22, 2025
- Pooled vehicle RAUM · $2.2B to $3.6BDec 2, 2024 to Apr 22, 2025
- RAUM · $211B to $256BDec 2, 2024 to Apr 22, 2025
- Wrap assets (manager) · $378M to $1.2BDec 2, 2024 to Apr 22, 2025
- Accounts · 3,143 to 2,926Sep 11, 2023 to Mar 28, 2024
Signals
55 dated events
- Jack Anthony Balestrieri left First Trust Advisors Lp for Wedbush Securities Inc. (registered 2026-08-24)Aug 12, 2026 · Advisor changed firm · fact
- Christopher John Jones left First Trust Advisors Lp for Amplify Etfs (registered 2026-08-10)Feb 20, 2026 · Advisor changed firm · fact
- Craig Pierce left First Trust Advisors Lp for Seia (registered 2026-02-02)Feb 2, 2026 · Advisor changed firm · fact
- Jared Stephen Todd left First Trust Advisors Lp for Veritas Private Wealth Management (registered 2026-01-08)Jan 16, 2026 · Advisor changed firm · fact
- John Aston Edmunds left First Trust Advisors Lp for Commonwealth Financial Network (registered 2026-02-06)Jan 5, 2026 · Advisor changed firm · fact
- Cory John Grebe left First Trust Advisors Lp for Booster Asset Management, Llc (registered 2025-12-12)Dec 11, 2025 · Advisor changed firm · fact
- Xhordi Xhokola left First Trust Advisors Lp for International Assets Investment Management, Llc (registered 2025-10-24)Nov 3, 2025 · Advisor changed firm · fact
- Andrew Joseph Agosta left First Trust Advisors Lp for Prosperity Financial Group, Inc. (registered 2025-10-03)Oct 14, 2025 · Advisor changed firm · fact
- Paul Edward Brandwein left First Trust Advisors Lp for Hbw Advisory Services Llc (registered 2026-03-05)Jul 30, 2025 · Advisor changed firm · fact
- Jacob Scott Edzards left First Trust Advisors Lp for Ubs Financial Services Inc. (registered 2025-06-26)May 16, 2025 · Advisor changed firm · fact
- Calvin Gross left First Trust Advisors Lp for Raymond James & Associates, Inc. (registered 2025-05-13)Apr 28, 2025 · Advisor changed firm · fact
- Mallory Nicole Moore left First Trust Advisors Lp for Gateway Financial Advisors Texas, Llc (registered 2025-08-01)Apr 9, 2025 · Advisor changed firm · fact
- Jennifer Grzeskiewicz left First Trust Advisors Lp for Wells Fargo Advisors (registered 2025-04-22)Mar 17, 2025 · Advisor changed firm · fact
- Jacob Martin Marriott left First Trust Advisors Lp for Aptus Capital Advisors, Llc (registered 2025-02-24)Feb 12, 2025 · Advisor changed firm · fact
- Tenzin Phuntsok left First Trust Advisors Lp for Aptus Capital Advisors, Llc (registered 2025-02-24)Jan 27, 2025 · Advisor changed firm · fact
- Spencer A Moore left First Trust Advisors Lp for Ubs Financial Services Inc. (registered 2025-02-12)Jan 16, 2025 · Advisor changed firm · fact
- Daniel Joseph Mckenna left First Trust Advisors Lp for Private Advisor Group, Llc (registered 2025-01-16)Jan 6, 2025 · Advisor changed firm · fact
- First Trust Investment Solutions L.P.'s advisors moved to First Trust Advisors LP (Naples, FL): 9 of 9 registered, on the same dayDec 20, 2024 · Firm absorbed (people side) · derived
- Roger Ivan Toledo left First Trust Advisors Lp for Lpl Financial Llc (registered 2026-03-23)Dec 19, 2024 · Advisor changed firm · fact
- Stephen Berry left First Trust Advisors Lp for Commonwealth Financial Network (registered 2025-01-30)Dec 3, 2024 · Advisor changed firm · fact
- Marissa Ferris left First Trust Advisors Lp for Morgan Stanley (registered 2025-01-02)Oct 9, 2024 · Advisor changed firm · fact
- Arthur Michael Pizzello left First Trust Advisors Lp for Raymond James Financial Services Advisors, Inc (registered 2024-08-22)Aug 23, 2024 · Advisor changed firm · fact
- Carlos M Garcia left First Trust Advisors Lp for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-06-25)Jul 26, 2024 · Advisor changed firm · fact
- John Luke Brownd left First Trust Advisors Lp for Morgan Stanley (registered 2024-07-30)Jul 23, 2024 · Advisor changed firm · fact
- Joseph Lance Foley left First Trust Advisors Lp for Fortiter Wealth Management, Llc (registered 2024-05-01)May 6, 2024 · Advisor changed firm · fact
- Estefania Gorman left First Trust Advisors Lp for Scala Capital Llc (registered 2024-07-24)Apr 17, 2024 · Advisor changed firm · fact
- David William Toellen left First Trust Advisors Lp for Toellen Capital Management, Llc (registered 2026-03-31)Apr 17, 2024 · Advisor changed firm · fact
- Aaron Michael Nichols left First Trust Advisors Lp for Atlas Fiduciary Services, Inc. (registered 2025-07-11)Mar 28, 2024 · Advisor changed firm · fact
- First Trust Advisors Lp reported 121 state-registered advisory representatives, down from 492 (2023-09-11 to 2024-03-28)Mar 28, 2024 · Advisor headcount change · derived
- Christopher Albert King left First Trust Advisors Lp for Ii Technology, Llc (registered 2024-05-15)Feb 21, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/FIRST-TRUSTreportedpublic record, Form ADV, Sep 17, 2026
- Website
- FTSMA.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 630-765-8000reportedpublic record, Form ADV, Apr 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $509Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026