AL
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
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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
May 2019 - Present · 6 yrs 8 mos
First Trust Portfolios L.P.
May 2019 - Present · 6 yrs 8 mos
First Trust Portfolios L.P.Broker
May 2019 - Present · 6 yrs 8 mos
Previous Registrations
Invesco Advisers, INC.
May 2016 - May 2019 · 3 yrs
Invesco Distributors, INC.Broker
May 2016 - May 2019 · 3 yrs
Raymond James & Associates, INC.
February 2016 - April 2016 · 2 mos
Raymond James & Associates, INC. Broker
September 2015 - April 2016 · 7 mos
State Registrations5 states
IDILMTUTWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.