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FIRST TRUST ADVISORS LP
CRD 107027File 801-39950
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Apr 30, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$309.24B
Top 10% of cohort (national)
Discretionary AUM
$232.69B
Non-discretionary $76.55B
Clients
5,731
6,316 accounts
Employees
542
Top 10% of cohort in IL
Identity & registration
ADV Item 1- Organization form
- Limited Partnership
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Oct 4, 1991
- Principal office
- 120 E. LIBERTY DRIVE, SUITE 400, WHEATON, IL, 60187
- Phone
- 630-765-8000
- Website
- HTTPS://WWW.FTSMA.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $309.24B
- Discretionary AUM
- $232.69B
- Non-discretionary AUM
- $76.55B
- Discretionary accounts
- 4,682
- Non-discretionary accounts
- 1,634
- Total accounts
- 6,316
- AUM per client
- $54.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 118 | $594.0M |
| Investment companies | 1,954 | $297.51B |
| Charitable organizations | 52 | $1.11B |
| High net worth individuals | 2,593 | $4.66B |
| Pooled investment vehicles | 80 | $5.05B |
| Individuals (other than high net worth individuals) | 934 | $317.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — FIXED FEES PER UNIT (UITS) FOR PORTFOLIO SUPERVISORY SERVICES
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Publications
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C5
- Q11E2
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.