AS
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
555 advisors
Number of Clients
5,033 clients
Average Client Portfolio
$50.9M average
Assets Under Management
$256.3B
Fee Structure
Minimum Investment:$50K
This firm manages investments for institutions, pooled investment vehicles, and individual clients. This brochure does not include a specific fee schedule for individual clients. Contact the firm directly for more information on fees.
Areas of Practice
Investment Management
Loading...
Advisor Information
Office location
120 E. Liberty Drive, Suite 400, Wheaton, IL, 60187
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
First Trust Advisors LP
June 2014 - Present · 11 yrs 7 mos
First Trust Portfolios L.P.
February 2014 - Present · 11 yrs 11 mos
First Trust Portfolios L.P.Broker
February 2014 - Present · 11 yrs 11 mos
Previous Registrations
Fidelity Investments Institutional Services Company, INC.Broker
August 2011 - February 2014 · 2 yrs 6 mos
Lincoln Financial Advisors CorporationBroker
May 2011 - June 2011 · 1 mo
State Registrations4 states
ILMDVAWV
AdvisorBrokerBoth
Exams
No exam information available for this advisor.