AdFi
FT

First Trust Advisors LP

SEC Registered
Assets Under Management
$25B+
Office Locations
3 offices
Total Accounts
6316

About the firm

Firm Focus

Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.

IndividualsHigh Net WorthInvestment CompaniesPooled VehiclesCharitable OrganizationsCorporations

Areas of expertise

Direct IndexingPremium Direct IndexingCustom Option SolutionsStructured Investment StrategiesEquity StrategiesValues Based StrategiesNeutral StrategiesDefensive Strategies

Services

Direct Indexing, Premium Direct Indexing™, Custom Option Solutions, Structured Investment Strategies, Equity Strategies, Values Based Strategies, Neutral Strategies, Defensive Strategies

Private funds / alternatives
Hedge

Leadership

The Charger Corporation
GENERAL PARTNER
Grace Partners Of Dupage L.p.
LIMITED PARTNER
The Charger Corporation
GENERAL PARTNER
William Scott Jardine
GENERAL COUNSEL
Robert Scott Hall
MANAGING DIRECTOR
James Allen Bowen
SOLE SHAREHOLDER
Andrew Scott Roggensack
PRESIDENT
James Allen Bowen
CHIEF EXECUTIVE OFFICER
Ajm Ventures Llc
SHAREHOLDER
David Gerard Mcgarel
MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER
Daniel Joel Lindquist
MANAGING DIRECTOR
James Martin Dykas
CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR
David Gerard Mcgarel
CHIEF OPERATING OFFICER
Kelly Catherine Dehler
CHIEF COMPLIANCE OFFICER

Office locations

3 offices in 3 states
IL
WheatonHQ
TX
Austin
TN
Franklin

Advisors at this firm

Showing 100 of 605

James Allen Bowen
Investment Adviser Representative
Dual-registered
Lewin McDonald Williams Sr
Investment Adviser Representative
Dual-registered
Daniel Gerard Lavin
Investment Adviser Representative
Dual-registered
Robert Franklin Carey
Investment Adviser Representative
Dual-registered
Craig Stephen Prichard
Investment Adviser Representative
Dual-registered
Todd Ward Larson
Investment Adviser Representative
Dual-registered
Kenneth Stephen Fincher
Investment Adviser Representative
Dual-registered
Sean Dempsey Moriarity
Investment Adviser Representative
Dual-registered
Michael John Darr
Investment Adviser Representative
Dual-registered
Johnathan Nein Wilhelm
Investment Adviser Representative
Dual-registered
Jeffrey Mark Scott
Investment Adviser Representative
Dual-registered
William Andrew Folland
Investment Adviser Representative
Investment Adviser Representative
Paul Francis McGinn
Investment Adviser Representative
Dual-registered
Roger Francis Testin
Investment Adviser Representative
Investment Adviser Representative
Joel David Donley
Investment Adviser Representative
Dual-registered
Michael Egan
Investment Adviser Representative
Investment Adviser Representative
John W Gambla Mr.
Investment Adviser Representative
Dual-registered
Keith McClanahan Conley
Investment Adviser Representative
Dual-registered
Daniel Joel Lindquist
Investment Adviser Representative
Investment Adviser Representative
Michael Patrick Hall
Investment Adviser Representative
Dual-registered
Kurt Randolph Winkler
Investment Adviser Representative
Dual-registered
Kevin Leigh Denardo
Investment Adviser Representative
Dual-registered
David Hans Tweeten
Investment Adviser Representative
Dual-registered
Troy Andrew Thueson
Investment Adviser Representative
Dual-registered
Eric Rhodes Maisel
Investment Adviser Representative
Dual-registered
Thomas Edward Kotcher
Investment Adviser Representative
Dual-registered
Timothy Scott Trudo
Investment Adviser Representative
Dual-registered
Jon C Erickson
Investment Adviser Representative
Dual-registered
Andrew Chander Subramanian
Investment Adviser Representative
Dual-registered
Gregory Edward Wearsch
Investment Adviser Representative
Dual-registered
Michael Crane Britt
Investment Adviser Representative
Dual-registered
Eric Milo Doede
Investment Adviser Representative
Dual-registered
Scott David Fries
Investment Adviser Representative
Dual-registered
Steven Raymond Ritter
Investment Adviser Representative
Dual-registered
Tobin Matthew Crowder
Investment Adviser Representative
Dual-registered
Richard Michael Jacquemart II
Investment Adviser Representative
Dual-registered
Rob Guttschow
Investment Adviser Representative
Dual-registered
Anne Frances Lawler
Investment Adviser Representative
Dual-registered
Charles Henry Bradley Jr
Investment Adviser Representative
Dual-registered
Eric Hugh Daley
Investment Adviser Representative
Dual-registered
Toby Allan Bohl
Investment Adviser Representative
Dual-registered
Christian Dean Jeppesen
Investment Adviser Representative
Dual-registered
Brian Thomas Taylor
Investment Adviser Representative
Dual-registered
Derek Hans Schicht
Investment Adviser Representative
Dual-registered
William Michael Hannold
Investment Adviser Representative
Dual-registered
William Anthony Housey Jr
Investment Adviser Representative
Dual-registered
Benjamin A Burger
Investment Adviser Representative
Dual-registered
Jeffrey Stephen Barnum
Investment Adviser Representative
Dual-registered
Steve Krull
Investment Adviser Representative
Dual-registered
David Michael Pagano
Investment Adviser Representative
Dual-registered
Michelle Megan Parker
Investment Adviser Representative
Dual-registered
David Gerard McGarel
Investment Adviser Representative
Dual-registered
Erik Soren Jackson
Investment Adviser Representative
Dual-registered
Reed P Nitto
Investment Adviser Representative
Dual-registered
Matthew Douglas Graham
Investment Adviser Representative
Dual-registered
Michael Sprout Shannon
Investment Adviser Representative
Dual-registered
Chris Aaron Peterson
Investment Adviser Representative
Investment Adviser Representative
Joseph George Chirempes
Investment Adviser Representative
Dual-registered
Stephen Aaron Fox
Investment Adviser Representative
Dual-registered
Jeffrey Robert Krogh
Investment Adviser Representative
Dual-registered
Robert Arthur Hensley
Investment Adviser Representative
Investment Adviser Representative
John Joseph Osullivan
Investment Adviser Representative
Dual-registered
John Beatty Lynch
Investment Adviser Representative
Dual-registered
Robert Alan Setlak
Investment Adviser Representative
Dual-registered
Brian Joseph Pawlowicz
Investment Adviser Representative
Dual-registered
Peter Christou
Investment Adviser Representative
Dual-registered
Timothy Jay Bayee
Investment Adviser Representative
Dual-registered
Edward Peter McFadden III
Investment Adviser Representative
Dual-registered
Karen Lynn Lagioia
Investment Adviser Representative
Dual-registered
Stephen John Yock
Investment Adviser Representative
Dual-registered
Nim K Short
Investment Adviser Representative
Dual-registered
Alexander P Brozyna
Investment Adviser Representative
Dual-registered
Joshua Joel Crosley
Investment Adviser Representative
Dual-registered
Sean Michael Parchment
Investment Adviser Representative
Dual-registered
Christopher John Vantil
Investment Adviser Representative
Dual-registered
Jeffrey Joseph Schmidt
Investment Adviser Representative
Dual-registered
Brian Keith Penney
Investment Adviser Representative
Dual-registered
Matthew E Westley
Investment Adviser Representative
Dual-registered
Paul R Peterson
Investment Adviser Representative
Dual-registered
Joshua G. Gongaware
Investment Adviser Representative
Dual-registered
Keith Lawrance Litavsky
Investment Adviser Representative
Dual-registered
Mario Arthur Manfredi Jr
Investment Adviser Representative
Dual-registered
Walter Bohdan Zinych
Investment Adviser Representative
Dual-registered
Ryan Olavi Issakainen
Investment Adviser Representative
Dual-registered
Daniel Raymond Kozicki Jr
Investment Adviser Representative
Dual-registered
Kelly Nelson Watson
Investment Adviser Representative
Dual-registered
Kenneth William Harrison
Investment Adviser Representative
Dual-registered
Alyssa Anne Dalby
Investment Adviser Representative
Dual-registered
Christopher William Struck
Investment Adviser Representative
Dual-registered
Michael Wayne York
Investment Adviser Representative
Dual-registered
Steven Martin Collins
Investment Adviser Representative
Investment Adviser Representative
Daniel Stanley Orr
Investment Adviser Representative
Dual-registered
Michael Philip Leyden
Investment Adviser Representative
Dual-registered
Robert Scott Biddinger
Investment Adviser Representative
Dual-registered
Jonathan Wesley Strong
Investment Adviser Representative
Dual-registered
Miodrag Spasojevic
Investment Adviser Representative
Dual-registered
Vince Dino Dagostino
Investment Adviser Representative
Dual-registered
Stacy Lynn Sistowicz
Investment Adviser Representative
Dual-registered
Christopher Robert Fallow
Investment Adviser Representative
Dual-registered
Daren Jesse Davis
Investment Adviser Representative
Dual-registered

Regulatory & compliance

CRD number
#107027
SEC Number
801-39950
Disciplinary History
Yes
Fees & Minimums
Fee arrangements the firm reports: AUM / Performance-based / Other
Minimum: $50,000 (waivable)

Data as of April 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Contact Information

Editorial disclosure

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. First Trust Advisors LP has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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First Trust Advisors in Wheaton, IL - Fees & Services