SourcingSourcing

FIRST TRUST ADVISORS LP

C27
CRD 107027·SEC 801-39950·WHEATON, IL
AUM
$309.24B
$1B+
Est. Revenue
$3.09B
@ 1% on AUM
Est. EBITDA
$927.7M
@ 30% margin
Est. Deal Value
$7.42B
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
FIRST TRUST ADVISORS LP
CRD
107027
SEC file #
801-39950
EIN
351068133
DBA names
—

Economics

AUM
$309.24B
AUM band
$1B+
AUM trajectory
'20'26
$113.41B → $309.24B▲ +173%
Client mix
Individuals High Net Worth2,593
Investment Companies1,954
Individuals Other934
Corporations118
Pooled Investment Vehicles80

Operations

Employees (total)
542
Advisory staff (per ADV)
143
Advisory staff (5-yr trend)
'20'26
74 advisors → 143 advisors▲ +93%
Primary office
WHEATON IL
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMPerformance-based feesOther Compensation

Filings

Latest ADV filing
04/30/2026
ADV-W filed at
—
Website
ftsma.com

Compliance

Disclosures (firm)
3
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
GRACE PARTNERS OF DUPAGE L.P.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
10
Control Persons
GRACE PARTNERS OF DUPAGE L.P.
BOWEN, JAMES, ALLEN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
FTSMA.COM
Rdap Domain Creation Date
2023-08-01T17:29:40Z
Rdap Firm Age Years
3
Rdap Firm Age Band
<5y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
2
Form 5500 Total Participants
2,655
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20242
Schedule C Service Provider Rows
2

SEC EDGAR

Edgar Cik
0000356264
Edgar Registered
Yes
Edgar Filing Count
111
Edgar First Filing Date
1999-05-12
Edgar Last Filing Date
2026-05-04
Edgar 13f Count
109
Edgar 13f Latest AUM Estimate
Filing Date2026-05-04
Accession0000356264-26-000004

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
49
Bc Firm Active IA Count
50
Bc Firm IAR Count
50
Custodian Candidates
Full
Charles Schwab9
Lpl Financial4
E*trade4
Fidelity3
Pershing3
Edgar Addresses
Mailing
PO BOX 1602SOUTH BEND, IN 46634
Business
PO BOX 1602SOUTH BEND, IN 46634
Edgar EIN
351068133
Edgar Recent Filings
13F-HR2026-05-04 · 0000356264-26-000004
13F-HR2026-02-05 · 0000356264-26-000002
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-08-01T17:29:40Z
Rdap Domain Last Changed
2023-10-16T04:16:49Z
Rdap Nameservers
Greg.ns.cloudflare.comSierra.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
Yes

People (57)

57
MCGAREL, DAVID, GERARD
IAR · Executive Officer · 2.5%
2945880
BOWEN, JAMES, ALLEN
Executive Officer · 2.5%
1123316
DEHLER, KELLY, CATHERINE
Executive Officer · 2.5%
1272126
DYKAS, JAMES, MARTIN
Executive Officer · 2.5%
2264809
HALL, ROBERT, SCOTT
Executive Officer · 2.5%
722085
JARDINE, WILLIAM, SCOTT
Executive Officer · 2.5%
2609233
LINDQUIST, DANIEL, JOEL
Executive Officer · 2.5%
2236812
ROGGENSACK, ANDREW, SCOTT
Executive Officer · 2.5%
1582059
JOHN W GAMBLA
IAR
2162404
JEFFREY JOSEPH SCHMIDT
IAR
3251294
STEVEN MARTIN COLLINS
IAR
4318261
MIODRAG SPASOJEVIC
IAR
4349053
JONATHAN WESLEY STRONG
IAR
4348557
DANIEL RAYMOND KOZICKI
IAR
4151596
KENNETH WILLIAM HARRISON
IAR
4168897
KELLY NELSON WATSON
IAR
4168356
CHRISTOPHER ROBERT FALLOW
IAR
4437448
DAREN JESSE DAVIS
IAR
4488313
JON C ERICKSON
IAR
2497585
ALYSSA ANNE DALBY
IAR
4227202
CHRISTOPHER JOHN VANTIL
IAR
3238822
CHRISTOPHER WILLIAM STRUCK
IAR
4288655
MICHAEL WAYNE YORK
IAR
4307557
JAMES RALPH ROWLETTE III
IAR
4711127
FRED LINCOLN WOOD
IAR
4748946
JENNIFER JOY HENNEBERRY
IAR
4595200
TODD J MARSHALL
IAR
4854053
SARAH VIOLET GALPIN
IAR
4815855
BILQEES JAHAN IKRAM
IAR
4552996
STEVEN ROBERT MARTIN
IAR
4864257
GABRIELLE JOY CRESSMAN
IAR
4864718
KRISTIN S.W. KANO
IAR
4945049
HARRY BENJAMIN FRYCKBERG
IAR
5562192
CHRISTOPHER RYAN FOSSUM
IAR
5509072
THOMAS J HACKER
IAR
5271922
Adam Christopher Hachmeister
IAR
7143093
JOSHUA G. GONGAWARE
IAR
4006018
BARTON J HOUSMAN
IAR
5250371
SEAN KELLY
IAR
5896533
BENJAMIN DANIEL FERWERDA
IAR
4825678
RYAN D GRIFFIN
IAR
5717040
John Mullins
IAR
7677907
Tyler Peters
IAR
6452363
Michael Valicento
IAR
7993581
Aaron J Wustefeld
IAR
7618010
Timothy Fleming
IAR
7566995
zachary davidson
IAR
7836682
Travis Pyykkonen
IAR
7586847
NOAH DAVID HELM
IAR
5877140
MICHAEL PHILIP LEYDEN
IAR
4343084
Ronald Howard Muck
IAR
6941626
RYAN OLAVI ISSAKAINEN
IAR
4125038
BENJAMIN ALEXANDER JOHNSON
IAR
6065251
Alexander Tarnow
IAR
7059728
SCOTT ANDREW BROMAN
IAR
7272389
Carson Grebe
IAR
7390981
Robert Gordon
IAR
7357356