# FIRST TRUST ADVISORS LP

FIRST TRUST ADVISORS LP of WHEATON, IL is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 107027
- Type: SEC-registered investment adviser
- SEC file number: 801-39950
- Location: 120 E. LIBERTY DRIVE, SUITE 400, WHEATON, IL, 60187
- Phone: 630-765-8000
- Latest filing: 2026-04-30
- Regulatory AUM: $309.2B
- Discretionary AUM: $232.7B
- Non-discretionary AUM: $76.6B
- Clients: 542
- Accounts: 6,316

## Business model

- Compensation: % of AUM, Performance, Other
- Clients served: High net worth, Pooled vehicles, Charities, Corporations, Investment cos

## Officers, owners & control persons (29)

_Showing 25 of 29 people._

| Name | Role | Location |
| --- | --- | --- |
| James Allen Bowen | CHIEF EXECUTIVE OFFICER; SOLE SHAREHOLDER | — |
| Robert Scott Hall | MANAGING DIRECTOR | — |
| William Scott Jardine | GENERAL COUNSEL | — |
| Andrew Scott Roggensack | PRESIDENT | — |
| David Gerard Mcgarel | CHIEF OPERATING OFFICER; MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER | — |
| Daniel Joel Lindquist | MANAGING DIRECTOR | — |
| James Martin Dykas | CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR | — |
| Kelly Catherine Dehler | CHIEF COMPLIANCE OFFICER | — |
| HALL DAVID SCOTT | MANAGING DIRECTOR | — |
| VANKAMPEN JUDITH MARLEE | VOTING AGREEMENT | — |
| VANKAMPENPIERRE KARLA MARLEE | SHAREHOLDER | — |
| MCDERMOTT JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | — |
| WISEN KRISTEN JOY | SHAREHOLDER | — |
| BRADLEY MARK RAYMOND | CHIEF OPERATING OFFICER; MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER | — |
| BOWEN JAMES ALLEN | CHIEF EXECUTIVE OFFICER; PRESIDENT; SHAREHOLDER (+1 more) | — |
| JARDINE WILLIAM SCOTT | CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL | — |
| CAREY ROBERT FRANKLIN | CHIEF INVESTMENT OFFICER | — |
| MCALISTER RONALD DEAN | MANAGING DIRECTOR | — |
| BREDEMEIER ROBERT WILLIAM | MANAGING DIRECTOR; MANAGING DIRECTOR/CHIEF OPERATING OFFICER | — |
| MOHR MITCHELL EUGENE | CHIEF COMPLIANCE OFFICER | — |
| FIELD DAVID BROOKS | CHIEF INVESTMENT OFFICER/SENIOR VICE PRESIDENT | — |
| WEBB WILLIAM D | CHIEF COMPLIANCE OFFICER | — |
| VANKAMPEN-PIERRE KARLA MARLEE | SHAREHOLDER | — |
| BROWN KATHLEEN WIELAND | CHIEF COMPLIANCE OFFICER | — |
| ROGGENSACK ANDREW SCOTT | PRESIDENT | — |


## Disclosures (10)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2022-10-18 | regulatory | ON OCTOBER 19, 2022, FTA HELD A LONG POSITION IN DECEMBER 2022 LEAN HOG FUTURES THAT EXCEEDED THE POSITION LIMIT BY 463 CONTRACTS. | Final | $15K |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/107027/brochure
- Similar advisers: https://search.stillhousedata.com/firm/107027/similar
- Related entities: https://search.stillhousedata.com/firm/107027/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/107027

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.