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.
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SEC-registered adviser
F•••• T•••• G••••• P••••••••• L•••
Legal name F•••• T•••• G••••• P••••••••• L••••••
Latest filing Mar 31, 2026
First filing on the tape Apr 17, 2014 · 19 filings
SEC status approved since May 1, 2014
RAUM
$339M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
34
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$339M as of Mar 31, 2026
Mar 31, 2015$25.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20150 then
Employees (5.A)34 as of Mar 31, 2026
Mar 31, 201510 then
Private funds: no history
RAUM +60% over the last fiscal year+32% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $56.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +60%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$303M91%
- Pooled investment vehicles$13.2M4.0%
- Other investment advisers$9.1M2.7%
- Insurance companies$8.3M2.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.96 institutional_share=0.02 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••• A•••• · D•••••Orcontrolsince 12/2011 · owns less than 5%
- D••••••• L•••••••• A•••••• · D•••••Orcontrolsince 08/2016 · owns less than 5%
- F•••••• D••••• N••••• · Chief Executive Officercontrolsince 04/2012 · owns less than 5%
- J••••••• E•••• S•••• · Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
- M••••••• D••••• G••••• · D•••••Orcontrolsince 01/2016 · owns less than 5%
- R••••••••• A•••••• S•••• · D•••••Orcontrolsince 12/2011 · owns less than 5%
- B••••• J••••• A•••• · Sole Shareholdercontrolsince 10/2010 · owns 75% or more of A•• V••••••• L••
- D••••• M•••••• · Trusteecontrolsince 05/2011 · owns F of C••••••••• S••••••.
- F•••••• D••••• N••••• · Shareholdercontrolsince 05/2011 · owns 25% to 50% of C••••••••• S••••••.
- M•••••• M••••• · Shareholdercontrolsince 04/2021 · owns 25% to 50% of C••••••••• S••••••
Entity owners
- C••••••••• S•••••• · Shareholderdirect · owns less than 5%
- F•••• T•••• G••••• E••••••••• L••• · Shareholderdirect · owns 75% or more
- A•• V••••••• L•• · Shareholderindirect · owns 75% or more of T•• C•••••• C•••••••••
- G•••• P••••••• O• D••••• L••• · L•••••• Partnerindirect · owns 75% or more of F•••• T•••• G••••• E••••••••• L•••
- T•• C•••••• C••••••••• · General Partnerindirect · owns F of F•••• T•••• G••••• E••••••••• L•••
- T•• C•••••• C••••••••• · General Partnerindirect · owns F of G•••• P••••••• O• D••••• L•••
Related persons
Schedule D 7.A
- F•••• T•••• A••••••• L•investment adviserbanknRAUM $309B
- F•••• T•••• C•••••• M••••••••• L•••investment adviserbankpooled vehicle sponsornRAUM $13B
- F•••• T•••• C•••••• P••••••• L••n
- F•••• T•••• D••••• I•••••••investment advisernRAUM $1.4B
- F•••• T•••• G••••• P••••••••• M••••••••• L••••••pooled vehicle sponsorn
- F•••• T•••• I••••••••• S•••••••• L•••investment adviserpooled vehicle sponsornRAUM $518M
- F•••• T•••• P••••••••• L•••broker-dealerpooled vehicle sponsorn
- S••••••••• A••••••• L••investment advisernRAUM $12B
- V••• F•••••••• L••investment adviserbanknRAUM $52B
- V••• S••••••••• L••broker-dealern
Advisers that list F•••• T•••• G••••• P••••••••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 31, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2025-11-25, no on the filing of 2026-03-31peers: asset managers, $100M to $500M (1,567)
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $211,161,520 to $338,803,966 (+60.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +4.0% (1148 comparable advisers, 93.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 93% percentile
What changed
consecutive filings, newest first
- Advisory employees · 3 to 6Nov 25, 2025 to Mar 31, 2026
- Other offices · 0 to 1Nov 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $211M to $339MNov 25, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $14.1M to $13.2MNov 25, 2025 to Mar 31, 2026
- RAUM · $211M to $339MNov 25, 2025 to Mar 31, 2026
- Accounts · 5 to 6Mar 27, 2024 to Mar 28, 2025
- Employees · 33 to 34Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- HQ state · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $171M to $211MMar 27, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $854,313 to $0Mar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $18.2M to $14.1MMar 27, 2024 to Mar 28, 2025
- RAUM · $172M to $211MMar 27, 2024 to Mar 28, 2025
- Accounts · 7 to 5Sep 26, 2023 to Mar 27, 2024
- Employees · 34 to 33Sep 26, 2023 to Mar 27, 2024
- Discretionary RAUM · $147M to $171MSep 26, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $226,385 to $854,313Sep 26, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $17.6M to $18.2MSep 26, 2023 to Mar 27, 2024
- RAUM · $147M to $172MSep 26, 2023 to Mar 27, 2024
- Accounts · 8 to 7Mar 31, 2022 to Mar 29, 2023
- Employees · 36 to 34Mar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $304M to $147MMar 31, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $34.7M to $226,385Mar 31, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $28.3M to $17.6MMar 31, 2022 to Mar 29, 2023
- RAUM · $339M to $147MMar 31, 2022 to Mar 29, 2023
- Accounts · 7 to 8Apr 9, 2021 to Mar 31, 2022
- Employees · 35 to 36Apr 9, 2021 to Mar 31, 2022
- Discretionary RAUM · $299M to $304MApr 9, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $27.4M to $34.7MApr 9, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $42.9M to $28.3MApr 9, 2021 to Mar 31, 2022
- RAUM · $326M to $339MApr 9, 2021 to Mar 31, 2022
- Accounts · 4 to 7Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 1 to 2Mar 30, 2020 to Mar 31, 2021
- Employees · 31 to 35Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $182M to $299MMar 30, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $0 to $27.4MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $9.6M to $42.9MMar 30, 2020 to Mar 31, 2021
- RAUM · $182M to $326MMar 30, 2020 to Mar 31, 2021
- Employees · 30 to 31Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $85.5M to $182MMar 29, 2019 to Mar 30, 2020
Signals
6 dated events
- F•••• T•••• G••••• P••••••••• L••• reported RAUM $338.8M, up 60% from $211.2M (2025-11-25 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- F•••• T•••• G••••• P••••••••• L••• reported RAUM $146.7M, down 57% from $339.0M (2022-03-31 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- M••••• M••••• (Shareholder) appeared on Schedule A of F•••• T•••• G••••• P••••••••• L•••Apr 9, 2021 · Control person joined · fact
- F•••• T•••• G••••• P••••••••• L••• reported RAUM $326.5M, up 79% from $182.3M (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Paul M••••• (Shareholder) no longer on Schedule A of F•••• T•••• G••••• P••••••••• L••• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- F•••• T•••• G••••• P••••••••• L••• filed its initial SEC registration (Form ADV)Apr 17, 2014 · ria f•••• adv filing · 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-trust-global-portfoliosreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +44 203 195 7121reportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026