First Trust Advisors Lp
SEC-registered
Mutual Fund / Asset Manager · Mega ($100B+)
CRD 107027
· SEC file 801-39950
· Wheaton, IL
· WWW.FTSMA.COM
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ADV data as of Apr 30, 2026
- Regulatory AUM
- $309B
- Discretionary
- $233B
- Clients
- 5,731
- Avg AUM / client
- $54.0M
- Accounts
- 6,316
- Employees
- 542
AUM over time
$48.1B
$309B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Apr 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 934 | $317M | 0.1% |
| High net worth individuals | 2,593 | $4.7B | 1.51% |
| Investment companies | 1,954 | $298B | 96.2% |
| Pooled investment vehicles (non-investment companies) | 80 | $5.1B | 1.63% |
| Charitable organizations | 52 | $1.1B | 0.36% |
| Corporations and other businesses | 118 | $594M | 0.19% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Stauffer Biscuit Company Pension Plan D. F. Stauffer Biscuit Company, Inc | 2024 |
People (608)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jardine, William, Scott | General Counsel | Mar 1995 (31y) | Less than 5% | |
| James Allen Bowen | Sole Shareholder | May 2000 (26y) | ≈ 0% – 5% via Ajm Ventures Llc | |
| Hall, Robert, Scott | Managing Director | Jan 2002 (25y) | Less than 5% | |
| Roggensack, Andrew, Scott | President | Dec 2010 (16y) | Less than 5% | |
| David Gerard Mcgarel | Managing Director/Chief Investment Officer | CFA | May 2011 (15y) | Less than 5% |
| Daniel Joel Lindquist | Managing Director | CFA | May 2011 (15y) | Less than 5% |
| Dykas, James, Martin | Chief Financial Officer / Managing Director | Jan 2016 (11y) | Less than 5% | |
| Dehler, Kelly, Catherine | Chief Compliance Officer | Jun 2021 (5y) | Less than 5% | |
| Charles Henry Bradley | Registered representative | May 1998 (28y) | ||
| Robert Franklin Carey | Registered representative | CFA | May 1998 (28y) | |
| Roger Francis Testin | Registered representative | CFA | Jan 2003 (24y) | |
| Eric Milo Doede | Registered representative | Jun 2003 (23y) | ||
| Christopher John Vantil | Registered representative | May 2005 (21y) | ||
| Timothy Scott Trudo | Registered representative | Oct 2008 (18y) | ||
| Michael John Darr | Registered representative | Oct 2008 (18y) | ||
| Richard Michael Jacquemart | Registered representative | Oct 2008 (18y) | ||
| Ryan M. Edwards | Registered representative | Oct 2008 (18y) | ||
| Sean Dempsey Moriarity | Registered representative | Oct 2008 (18y) | ||
| Eric Gregg Anderson | Registered representative | Oct 2008 (18y) | ||
| Joshua G. Gongaware | Registered representative | Nov 2008 (18y) | ||
| Nicholas Adam Poetz | Registered representative | Jan 2009 (18y) | ||
| Benjamin A Burger | Registered representative | Mar 2009 (17y) | ||
| Ryan Olavi Issakainen | Registered representative | Mar 2009 (17y) | ||
| Nim K Short | Registered representative | Mar 2009 (17y) | ||
| Eric William Stoiber | Registered representative | Mar 2009 (17y) | ||
| Alexander P Brozyna | Registered representative | Mar 2009 (17y) | ||
| Beth Ann Bogenschutz | Registered representative | Mar 2009 (17y) | ||
| Gregory Scott Schmidt | Registered representative | Mar 2009 (17y) | ||
| Michael John Norris | Registered representative | Mar 2009 (17y) | ||
| James Michael Harrell | Registered representative | Mar 2009 (17y) | ||
| Miodrag Spasojevic | Registered representative | Mar 2009 (17y) | ||
| Stanley Ueland | Registered representative | Mar 2009 (17y) | ||
| Robert Leo Derochie | Registered representative | Apr 2009 (17y) | ||
| Peter Andrew Spokes | Registered representative | Sep 2009 (17y) | ||
| George Morgan Palmer | Registered representative | Oct 2009 (17y) | ||
| Tobin Matthew Crowder | Registered representative | Nov 2009 (17y) | ||
| Michael Wayne York | Registered representative | Jan 2010 (17y) | ||
| Stephen John Yock | Registered representative | Jan 2010 (17y) | ||
| Todd J Marshall | Registered representative | Jun 2010 (16y) | ||
| Nathan Carlson | Registered representative | Jul 2010 (16y) | ||
| Zachary Ryan Ullrich | Registered representative | Oct 2010 (16y) | ||
| Marie Elizabeth Mcclughen | Registered representative | Jan 2011 (16y) | ||
| Eric Rhodes Maisel | Registered representative | CFA | Mar 2011 (15y) | |
| Lauren Beth Lang | Registered representative | Apr 2011 (15y) | ||
| Jon C Erickson | Registered representative | CFA | May 2011 (15y) | |
| Chris Aaron Peterson | Registered representative | CFA | May 2011 (15y) | |
| Todd Ward Larson | Registered representative | CFA | May 2011 (15y) | |
| Robert Arthur Hensley | Registered representative | CFA | May 2011 (15y) | |
| John W Gambla | Registered representative | CFA | Jul 2011 (15y) | |
| Rob Guttschow | Registered representative | CFA | Jul 2011 (15y) | |
| John Beatty Lynch | Registered representative | Aug 2011 (15y) | ||
| Lance Peironnet Hinkle | Registered representative | Sep 2011 (15y) | ||
| Erik David Russo | Registered representative | Sep 2011 (15y) | ||
| Steven Raymond Ritter | Registered representative | Sep 2011 (15y) | ||
| Christopher Robert Fallow | Registered representative | CFA | Sep 2011 (15y) | |
| Mark Lucas Xeros | Registered representative | Sep 2011 (15y) | ||
| Peter J Leonteos | Registered representative | Sep 2011 (15y) | ||
| William Curtis Casey | Registered representative | Sep 2011 (15y) | ||
| Thomas Edward Kotcher | Registered representative | Sep 2011 (15y) | ||
| Craig Stephen Prichard | Registered representative | Sep 2011 (15y) | ||
| Michael Crane Britt | Registered representative | Oct 2011 (15y) | ||
| Jennifer Joy Henneberry | Registered representative | Oct 2011 (15y) | ||
| Andrew Chander Subramanian | Registered representative | Oct 2011 (15y) | ||
| Nicholas Anthony Kokonas | Registered representative | Oct 2011 (15y) | ||
| Joel David Donley | Registered representative | Oct 2011 (15y) | ||
| John Vincent Molinari | Registered representative | Oct 2011 (15y) | ||
| Joshua Joel Crosley | Registered representative | Oct 2011 (15y) | ||
| William Frank Braasch | Registered representative | Oct 2011 (15y) | ||
| Brett Colby Egner | Registered representative | Oct 2011 (15y) | ||
| Daren Jesse Davis | Registered representative | Oct 2011 (15y) | ||
| William Michael Hannold | Registered representative | Oct 2011 (15y) | ||
| Matthew James Stowell | Registered representative | Oct 2011 (15y) | ||
| Michael Philip Leyden | Registered representative | Oct 2011 (15y) | ||
| Brian Keith Penney | Registered representative | Oct 2011 (15y) | ||
| Daniel J Blong | Registered representative | Oct 2011 (15y) | ||
| Gregory Edward Wearsch | Registered representative | Oct 2011 (15y) | ||
| Alex Michael Husnik | Registered representative | Nov 2011 (15y) | ||
| Scott Thomas Dawson | Registered representative | Nov 2011 (15y) | ||
| Daniel Gerard Lavin | Registered representative | Nov 2011 (15y) | ||
| Christopher Ryan Fossum | Registered representative | Nov 2011 (15y) | ||
| Robert Alan Setlak | Registered representative | Nov 2011 (15y) | ||
| Justin Joseph Eschenburg | Registered representative | Nov 2011 (15y) | ||
| Thomas Bradley Pearse | Registered representative | Nov 2011 (15y) | ||
| Daniel Raymond Kozicki | Registered representative | Nov 2011 (15y) | ||
| Matthew Douglas Graham | Registered representative | Nov 2011 (15y) | ||
| Anthony Michael Glaudel | Registered representative | Nov 2011 (15y) | ||
| John Joseph Osullivan | Registered representative | Nov 2011 (15y) | ||
| Joseph George Chirempes | Registered representative | Dec 2011 (15y) | ||
| Isaac Gregory Heath | Registered representative | Dec 2011 (15y) | ||
| Stacy Lynn Sistowicz | Registered representative | Dec 2011 (15y) | ||
| Michael Patrick Hall | Registered representative | Dec 2011 (15y) | ||
| Lewin Mcdonald Williams | Registered representative | Dec 2011 (15y) | ||
| Kevin Leigh Denardo | Registered representative | Dec 2011 (15y) | ||
| Brian Thomas Taylor | Registered representative | Dec 2011 (15y) | ||
| Keith Mcclanahan Conley | Registered representative | Dec 2011 (15y) | ||
| Noah David Helm | Registered representative | Jan 2012 (15y) | ||
| Barton J Housman | Registered representative | Jan 2012 (15y) | ||
| Benjamin Daniel Ferwerda | Registered representative | Jan 2012 (15y) | ||
| Eric Hugh Daley | Registered representative | Feb 2012 (15y) | ||
| Ashraff Enshiwat | Registered representative | Feb 2012 (14y) | ||
| Mark Andrew Dekorne | Registered representative | Feb 2012 (14y) | ||
| Daniel Mcdowell Deegan | Registered representative | Feb 2012 (14y) | ||
| Leah Delmauro Hall | Registered representative | Feb 2012 (14y) | ||
| Jacqueline M Wilke | Registered representative | Mar 2012 (14y) | ||
| Ann Koblenzer | Registered representative | Mar 2012 (14y) | ||
| Andrew Leonard Barnum | Registered representative | Mar 2012 (14y) | ||
| Michael Anthony Zaino | Registered representative | Mar 2012 (14y) | ||
| Toby Allan Bohl | Registered representative | Mar 2012 (14y) | ||
| Erik William Heavey | Registered representative | Apr 2012 (14y) | ||
| Steven Robert Martin | Registered representative | Apr 2012 (14y) | ||
| Jonathan Wesley Strong | Registered representative | Apr 2012 (14y) | ||
| Melissa E Taylor | Registered representative | Apr 2012 (14y) | ||
| Pamela Cole Martin | Registered representative | May 2012 (14y) | ||
| Christian Dean Jeppesen | Registered representative | May 2012 (14y) | ||
| Timothy Joseph Daniel | Registered representative | May 2012 (14y) | ||
| Cristian Ionut Nica | Registered representative | May 2012 (14y) | ||
| Nicholas Edward Novosad | Registered representative | Jun 2012 (14y) | ||
| Joseph Theodore Selvaggio | Registered representative | Jun 2012 (14y) | ||
| Gabrielle Joy Cressman | Registered representative | Jun 2012 (14y) | ||
| Mark Henry Nelson | Registered representative | Jun 2012 (14y) | ||
| Cory Charles Bringle | Registered representative | Jun 2012 (14y) | ||
| David Hans Tweeten | Registered representative | Jun 2012 (14y) | ||
| James Darrin Hughes | Registered representative | Jun 2012 (14y) | ||
| James Ralph Rowlette Iii | Registered representative | Jun 2012 (14y) | ||
| Timothy David Ellingsen | Registered representative | Jun 2012 (14y) | ||
| Samuel James Willis | Registered representative | Jun 2012 (14y) | ||
| Jeffrey Joseph Schmidt | Registered representative | Jul 2012 (14y) | ||
| Keith Lawrance Litavsky | Registered representative | Jul 2012 (14y) | ||
| Kristin S.W. Kano | Registered representative | Jul 2012 (14y) | ||
| Michelle Megan Parker | Registered representative | Jul 2012 (14y) | ||
| Harry Benjamin Fryckberg | Registered representative | Aug 2012 (14y) | ||
| William Donald Click | Registered representative | Aug 2012 (14y) | ||
| Brock Thomas Ullrich | Registered representative | Aug 2012 (14y) | ||
| Jeffrey Stephen Barnum | Registered representative | Aug 2012 (14y) | ||
| Kyle Edward Berthel | Registered representative | Aug 2012 (14y) | ||
| Sean Kelly | Registered representative | Aug 2012 (14y) | ||
| Karen Lynn Lagioia | Registered representative | Aug 2012 (14y) | ||
| Matthew Christopher Johnson | Registered representative | Aug 2012 (14y) | ||
| Bryan Phillip Ulmer | Registered representative | Sep 2012 (14y) | ||
| Kelly Nelson Watson | Registered representative | Sep 2012 (14y) | ||
| James Davidson East | Registered representative | Sep 2012 (14y) | ||
| Timothy Jay Bayee | Registered representative | Sep 2012 (14y) | ||
| Kenneth William Harrison | Registered representative | Sep 2012 (14y) | ||
| Jared Jacob Marcus | Registered representative | Sep 2012 (14y) | ||
| Michael Sprout Shannon | Registered representative | Oct 2012 (14y) | ||
| Christopher Michael Sajdak | Registered representative | Oct 2012 (14y) | ||
| David Michael Pagano | Registered representative | Nov 2012 (14y) | ||
| Michael D. Sloboda | Registered representative | Dec 2012 (14y) | ||
| Raymond Gene Worrell | Registered representative | Dec 2012 (14y) | ||
| Matthew Robert Strazza | Registered representative | Jan 2013 (14y) | ||
| John Joseph Conroy | Registered representative | Jan 2013 (14y) | ||
| Wyatt Wade Winslow | Registered representative | Jan 2013 (14y) | ||
| Reed P Nitto | Registered representative | Feb 2013 (13y) | ||
| Evan Christopher Singley | Registered representative | Mar 2013 (13y) | ||
| Daniel Affetto | Registered representative | Apr 2013 (13y) | ||
| Joshua David Weaver | Registered representative | Apr 2013 (13y) | ||
| Jordan Christian Long | Registered representative | CFA | Jun 2013 (13y) | |
| Erik Soren Jackson | Registered representative | Jul 2013 (13y) | ||
| Drew Peter Olson | Registered representative | Jul 2013 (13y) | ||
| Benjamin Alexander Johnson | Registered representative | Aug 2013 (13y) | ||
| Ryan A Schultz | Registered representative | CFA | Aug 2013 (13y) | |
| John Bria | Registered representative | Aug 2013 (13y) | ||
| Kenneth Stephen Fincher | Registered representative | Aug 2013 (13y) | ||
| Paul Francis Mcginn | Registered representative | Aug 2013 (13y) | ||
| Daniel Kevin Murphy | Registered representative | Aug 2013 (13y) | ||
| Brian Mitchell Nimmo | Registered representative | Sep 2013 (13y) | ||
| Eric John Montanari | Registered representative | Sep 2013 (13y) | ||
| Kirk Thomas Mckenney | Registered representative | Sep 2013 (13y) | ||
| Michael Brian Fink | Registered representative | Sep 2013 (13y) | ||
| Johnathan Nein Wilhelm | Registered representative | Sep 2013 (13y) | ||
| Kevin Curt Mccormick | Registered representative | Sep 2013 (13y) | ||
| James Paul Molinari | Registered representative | Sep 2013 (13y) | ||
| Anne Frances Lawler | Registered representative | Oct 2013 (13y) | ||
| Mark Edwin Wynsma | Registered representative | Oct 2013 (13y) | ||
| David William Kinsey | Registered representative | Oct 2013 (13y) | ||
| Aaron Anspach | Registered representative | Nov 2013 (13y) | ||
| Jordan Scott Ramsland | Registered representative | Dec 2013 (13y) | ||
| Fred Lincoln Wood | Registered representative | Jan 2014 (13y) | ||
| Ryan D Griffin | Registered representative | Jan 2014 (13y) | ||
| Samantha Glaz | Registered representative | Feb 2014 (12y) | ||
| Ian Marshall Mcgregor | Registered representative | Feb 2014 (12y) | ||
| Graham Andrew Foster | Registered representative | Mar 2014 (12y) | ||
| Trevor Mark Bushhouse | Registered representative | Apr 2014 (12y) | ||
| Matthew E Westley | Registered representative | Apr 2014 (12y) | ||
| Luke Burton Wynsma | Registered representative | May 2014 (12y) | ||
| Thomas J Hacker | Registered representative | May 2014 (12y) | ||
| Charles John Mironas | Registered representative | Jun 2014 (12y) | ||
| Alexander Matthew Singerman | Registered representative | Jun 2014 (12y) | ||
| Christopher William Struck | Registered representative | Jun 2014 (12y) | ||
| Rikka Marie Erway | Registered representative | Jun 2014 (12y) | ||
| Mario Arthur Manfredi | Registered representative | CFA | Jul 2014 (12y) | |
| Andrew Jerome Yakle | Registered representative | Aug 2014 (12y) | ||
| Michael Naples | Registered representative | Aug 2014 (12y) | ||
| Michael Basil | Registered representative | Aug 2014 (12y) | ||
| Alyssa Anne Dalby | Registered representative | Aug 2014 (12y) | ||
| Eric Francis Holsen | Registered representative | Aug 2014 (12y) | ||
| Anthony Peter Borsellino | Registered representative | Sep 2014 (12y) | ||
| Paul R Peterson | Registered representative | Sep 2014 (12y) | ||
| James Anders Boltz Carlson | Registered representative | Sep 2014 (12y) | ||
| John Mario Montefalco | Registered representative | Oct 2014 (12y) | ||
| Brendan A Mahoney | Registered representative | CFA | Oct 2014 (12y) | |
| Bradley H Seberhagen | Registered representative | Nov 2014 (12y) | ||
| David T Howard | Registered representative | Nov 2014 (12y) | ||
| Matthew Phillips | Registered representative | Nov 2014 (12y) | ||
| Scott Maxwell Wilson | Registered representative | Dec 2014 (12y) | ||
| Jonathon Thomas Digiovanni | Registered representative | Dec 2014 (12y) | ||
| Adam Joseph Lukanich | Registered representative | Jan 2015 (12y) | ||
| Genevieve Elyse Fuhrman | Registered representative | Jan 2015 (12y) | ||
| Michael Cain | Registered representative | Jan 2015 (12y) | ||
| Nicholas Edward Laskowsky | Registered representative | Feb 2015 (11y) | ||
| Daniel Joseph Radosevich | Registered representative | Mar 2015 (11y) | ||
| Peter Christou | Registered representative | Mar 2015 (11y) | ||
| James Matthew Brecher | Registered representative | May 2015 (11y) | ||
| Edward Lawrence Mccaskey | Registered representative | May 2015 (11y) | ||
| John Ryan Thomas | Registered representative | May 2015 (11y) | ||
| Derek Hans Schicht | Registered representative | Jun 2015 (11y) | ||
| Matthew Lee Ference | Registered representative | Jun 2015 (11y) | ||
| Nathan Andrew Klinker | Registered representative | Jul 2015 (11y) | ||
| Jeffrey Robert Krogh | Registered representative | Jul 2015 (11y) | ||
| Cara Lyn Frigo | Registered representative | Jul 2015 (11y) | ||
| Timothy E. Woodruff | Registered representative | Jul 2015 (11y) | ||
| Andrew David Jahns | Registered representative | Aug 2015 (11y) | ||
| Jacob John Rigert | Registered representative | Sep 2015 (11y) | ||
| Scott Joseph Donley | Registered representative | Sep 2015 (11y) | ||
| Stephen A Sperber | Registered representative | Oct 2015 (11y) | ||
| Jonathan Todd Wills | Registered representative | Oct 2015 (11y) | ||
| Matthew Brian Farber | Registered representative | Oct 2015 (11y) | ||
| Sean Michael Biddinger | Registered representative | Oct 2015 (11y) | ||
| Matthew Zane Henrici | Registered representative | Oct 2015 (11y) | ||
| Leonard Voris Fox | Registered representative | Oct 2015 (11y) | ||
| Michael Ryan Coyne | Registered representative | Nov 2015 (11y) | ||
| Ethan Richter | Registered representative | Nov 2015 (11y) | ||
| Michael Bernard Mckeating | Registered representative | Nov 2015 (11y) | ||
| Michael Reynold Mettler | Registered representative | Nov 2015 (11y) | ||
| Michael Francis Conroy | Registered representative | Nov 2015 (11y) | ||
| Edward Peter Mcfadden | Registered representative | Nov 2015 (11y) | ||
| Kyle Jacob Donley | Registered representative | Nov 2015 (11y) | ||
| Alannah Johnson | Registered representative | Dec 2015 (11y) | ||
| Mark Emil Seume | Registered representative | Dec 2015 (11y) | ||
| Matthew Sean Redmond | Registered representative | Jan 2016 (11y) | ||
| Robert Scott Biddinger | Registered representative | CFP | Jan 2016 (11y) | |
| Ryan P Bradley | Registered representative | Jan 2016 (11y) | ||
| Josiah David Sledge | Registered representative | Jan 2016 (11y) | ||
| Benjamin James Buisson | Registered representative | Jan 2016 (11y) | ||
| Bilqees Jahan Ikram | Registered representative | Jan 2016 (11y) | ||
| Kristen Elizabeth Nichols | Registered representative | Jan 2016 (11y) | ||
| James Francis Gurgone | Registered representative | Mar 2016 (10y) | ||
| Ryan Robert Pluth | Registered representative | Mar 2016 (10y) | ||
| Samuel John Tully | Registered representative | May 2016 (10y) | ||
| Virginia Rose Donohue | Registered representative | May 2016 (10y) | ||
| Scott David Fries | Registered representative | CFA | May 2016 (10y) | |
| William Anthony Housey | Registered representative | CFA | May 2016 (10y) | |
| Karen B Grosso | Registered representative | Aug 2016 (10y) | ||
| Robert John Cooper | Registered representative | Oct 2016 (10y) | ||
| Jonathan Howard Nellemann | Registered representative | Oct 2016 (10y) | ||
| Sarah Violet Galpin | Registered representative | Oct 2016 (10y) | ||
| Carl Albert Hass | Registered representative | Dec 2016 (10y) | ||
| John Joseph Lorenz | Registered representative | Jan 2017 (10y) | ||
| Pasquale Theodore Selvaggio | Registered representative | Jan 2017 (10y) | ||
| Mark William Friend | Registered representative | Feb 2017 (9y) | ||
| Michael Casey Porcellino | Registered representative | Apr 2017 (9y) | ||
| Michael Joseph Ratay | Registered representative | Apr 2017 (9y) | ||
| Alessandra Woodmansee | Registered representative | May 2017 (9y) | ||
| Jace Rock James | Registered representative | May 2017 (9y) | ||
| David Hancock Northrup | Registered representative | Jun 2017 (9y) | ||
| Christophe Taylor Schweighardt | Registered representative | Jun 2017 (9y) | ||
| Daniel Douglas Demerchant | Registered representative | Jun 2017 (9y) | ||
| Patrick Francis Donadio | Registered representative | Jun 2017 (9y) | ||
| Paul Thomas Evon | Registered representative | Aug 2017 (9y) | ||
| Jacob Francis Cremer | Registered representative | Aug 2017 (9y) | ||
| Brian James Wierenga | Registered representative | Aug 2017 (9y) | ||
| Eric Regis Mc Mahon | Registered representative | Sep 2017 (9y) | ||
| Christopher J Hodgdon | Registered representative | Dec 2017 (9y) | ||
| Stephen Aaron Fox | Registered representative | Dec 2017 (9y) | ||
| Maxwell Kobussen Karcher | Registered representative | Dec 2017 (9y) | ||
| Jonathan Andrew Hall | Registered representative | Mar 2018 (8y) | ||
| Rafal Oblekowski | Registered representative | May 2018 (8y) | ||
| Christian David Edmonds Hollinger | Registered representative | May 2018 (8y) | ||
| Bradley Austin Smelstor | Registered representative | Jul 2018 (8y) | ||
| Tyler John Sahly | Registered representative | Jul 2018 (8y) | ||
| Matthew John Gialamas | Registered representative | Jul 2018 (8y) | ||
| Brian Jonathan Weichel | Registered representative | Jul 2018 (8y) | ||
| Tyler Peters | Registered representative | Aug 2018 (8y) | ||
| Joseph Lewis Borsellino | Registered representative | Aug 2018 (8y) | ||
| Cesar Martinez | Registered representative | Sep 2018 (8y) | ||
| Ronald Howard Muck | Registered representative | Sep 2018 (8y) | ||
| Jacqueline Gagnon Sinclair | Registered representative | Sep 2018 (8y) | ||
| Ross Aaron Neuman | Registered representative | Sep 2018 (8y) | ||
| Craig Ralph Woodmansee | Registered representative | CFA | Sep 2018 (8y) | |
| Rebecca E Mullins | Registered representative | Sep 2018 (8y) | ||
| Jonathan Allen Jochum | Registered representative | Oct 2018 (8y) | ||
| Vince Dino Dagostino | Registered representative | Nov 2018 (8y) | ||
| Jeffrey A Baker | Registered representative | Dec 2018 (8y) | ||
| Blake Woodward Nystrom | Registered representative | Dec 2018 (8y) | ||
| Colin Ford | Registered representative | Dec 2018 (8y) | ||
| Thomas Robert Cardle | Registered representative | Jan 2019 (8y) | ||
| Eric Charles Cellier | Registered representative | Jan 2019 (8y) | ||
| Jakob Lynn Lindquist | Registered representative | Jan 2019 (8y) | ||
| Andrew Stone Distel | Registered representative | Jan 2019 (8y) | ||
| Alexander Tarnow | Registered representative | Jan 2019 (8y) | ||
| Andrew Edmund Stockton | Registered representative | Feb 2019 (8y) | ||
| Adam Robert Keller | Registered representative | Mar 2019 (7y) | ||
| David Conor Wells | Registered representative | Mar 2019 (7y) | ||
| Kyle Kenneth Ross | Registered representative | Mar 2019 (7y) | ||
| Samantha Provence | Registered representative | Mar 2019 (7y) | ||
| Brian Michael Herald | Registered representative | Mar 2019 (7y) | ||
| Samuel Walter Frasco | Registered representative | Mar 2019 (7y) | ||
| Anthony Victor Laudicina | Registered representative | Apr 2019 (7y) | ||
| Justin Zeller | Registered representative | Apr 2019 (7y) | ||
| Sean Michael Parchment | Registered representative | Apr 2019 (7y) | ||
| Sean Patrick Keane | Registered representative | Apr 2019 (7y) | ||
| Liam Edward Obrien | Registered representative | Apr 2019 (7y) | ||
| Mitchell Anthony Seebach | Registered representative | Apr 2019 (7y) | ||
| Trent Xavier Diekvoss | Registered representative | Apr 2019 (7y) | ||
| Christopher Sean Toye | Registered representative | Apr 2019 (7y) | ||
| Thomas J Giobbi | Registered representative | Apr 2019 (7y) | ||
| Makenna Quinn Krajsa | Registered representative | May 2019 (7y) | ||
| Justin Michael Harrison | Registered representative | May 2019 (7y) | ||
| Alex James Lakatos | Registered representative | May 2019 (7y) | ||
| Jack M Prestigiacomo | Registered representative | May 2019 (7y) | ||
| Michael Joseph Mattes | Registered representative | May 2019 (7y) | ||
| Derek Babb | Registered representative | Jun 2019 (7y) | ||
| Matthew Parker | Registered representative | Jun 2019 (7y) | ||
| Lukas Vincent Volpe | Registered representative | Jun 2019 (7y) | ||
| Tyler James Pearse | Registered representative | Jul 2019 (7y) | ||
| Kevin Michael Wyrostek | Registered representative | Jul 2019 (7y) | ||
| Jacob Donzelli | Registered representative | Jul 2019 (7y) | ||
| Joshua John William Graham | Registered representative | Jul 2019 (7y) | ||
| Adam Christopher Hachmeister | Registered representative | Jul 2019 (7y) | ||
| Walter Bohdan Zinych | Registered representative | Aug 2019 (7y) | ||
| Scott Michael Curran | Registered representative | Sep 2019 (7y) | ||
| Daniel Stanley Orr | Registered representative | Sep 2019 (7y) | ||
| Jacob Fernandes | Registered representative | Sep 2019 (7y) | ||
| Angelina Marie Cummins | Registered representative | Oct 2019 (7y) | ||
| Patrick Clare Olson | Registered representative | Oct 2019 (7y) | ||
| James Richard Doherty | Registered representative | Nov 2019 (7y) | ||
| Theodore Frank Selvaggio | Registered representative | Dec 2019 (7y) | ||
| Blake Andrew Mc Whirter | Registered representative | Dec 2019 (7y) | ||
| Joseph Albert Saracco | Registered representative | Dec 2019 (7y) | ||
| Troy Andrew Thueson | Registered representative | Dec 2019 (7y) | ||
| Jeffrey T. Teare | Registered representative | Jan 2020 (7y) | ||
| Brittany Gaddy Behrhorst | Registered representative | Jan 2020 (7y) | ||
| Jacob Anthony Krejci | Registered representative | Jan 2020 (7y) | ||
| Harley Raymond Sacks | Registered representative | Jan 2020 (7y) | ||
| Lauren Michelle Cassidy | Registered representative | Jan 2020 (7y) | ||
| Dominick Vincent Giordano | Registered representative | Feb 2020 (6y) | ||
| Justin Daniel Nielsen | Registered representative | Feb 2020 (6y) | ||
| Deaven Jensen | Registered representative | Feb 2020 (6y) | ||
| David John Tokar | Registered representative | Mar 2020 (6y) | ||
| Jeffrey Mark Scott | Registered representative | CFA | Mar 2020 (6y) | |
| Steven Martin Collins | Registered representative | CFA | Apr 2020 (6y) | |
| Michael Varga | Registered representative | Jun 2020 (6y) | ||
| Nathan Matthew Gerze | Registered representative | Aug 2020 (6y) | ||
| Griffin Bowes | Registered representative | Sep 2020 (6y) | ||
| Robert Wesley Neel | Registered representative | Sep 2020 (6y) | ||
| Scott Andrew Broman | Registered representative | Sep 2020 (6y) | ||
| Irvin Ct Sigler | Registered representative | Sep 2020 (6y) | ||
| Soraya Yvonne Litavsky | Registered representative | Sep 2020 (6y) | ||
| Quinton John Pasche | Registered representative | Sep 2020 (6y) | ||
| Nicholas Anthony Castaldo | Registered representative | Oct 2020 (6y) | ||
| Matthew Timothy Koelzer | Registered representative | Oct 2020 (6y) | ||
| Owen Aronson | Registered representative | Dec 2020 (6y) | ||
| Kyle Michael Wood | Registered representative | Dec 2020 (6y) | ||
| Jesse Thomas Stackland Winterer | Registered representative | Dec 2020 (6y) | ||
| Mason David Starry | Registered representative | Feb 2021 (5y) | ||
| Caleb Krumsieg | Registered representative | Feb 2021 (5y) | ||
| Travis Whitley Lang | Registered representative | Mar 2021 (5y) | ||
| Douglas James Bottaro | Registered representative | Mar 2021 (5y) | ||
| Robert Gordon | Registered representative | Apr 2021 (5y) | ||
| Sterling Chase Witt | Registered representative | Apr 2021 (5y) | ||
| Will Dodillet | Registered representative | Apr 2021 (5y) | ||
| Jason Louis Whitney | Registered representative | May 2021 (5y) | ||
| Nathan Allen Martin | Registered representative | May 2021 (5y) | ||
| Chrystian Maciorowski | Registered representative | May 2021 (5y) | ||
| John Mcguckin | Registered representative | Jun 2021 (5y) | ||
| Lucas Jon Fotis | Registered representative | Jun 2021 (5y) | ||
| William Dooley | Registered representative | Jun 2021 (5y) | ||
| Brendon M Mccarthy | Registered representative | Jun 2021 (5y) | ||
| Jake Brian Belski | Registered representative | Jul 2021 (5y) | ||
| Andrea Rose Massey | Registered representative | Jul 2021 (5y) | ||
| Ian David Karcher | Registered representative | Aug 2021 (5y) | ||
| Josiah Lindquist | Registered representative | Aug 2021 (5y) | ||
| Kevin J Hughes | Registered representative | Aug 2021 (5y) | ||
| Daniel Jude Malagoli | Registered representative | Sep 2021 (5y) | ||
| Thomas Edward Ansiel | Registered representative | Sep 2021 (5y) | ||
| Chase Gill | Registered representative | Oct 2021 (5y) | ||
| Jordan Roberts | Registered representative | Oct 2021 (5y) | ||
| Jake Farley Dinkel | Registered representative | Oct 2021 (5y) | ||
| Rhett R Litavsky | Registered representative | Oct 2021 (5y) | ||
| Alec Gaston Swofford | Registered representative | Oct 2021 (5y) | ||
| Charles Anthony Muck | Registered representative | Nov 2021 (5y) | ||
| Dane Jerome Gunderson | Registered representative | Nov 2021 (5y) | ||
| Devin D Iafelice | Registered representative | Nov 2021 (5y) | ||
| Kurt Randolph Winkler | Registered representative | Nov 2021 (5y) | ||
| Nicholas Pontrello | Registered representative | Nov 2021 (5y) | ||
| Steven Gentile | Registered representative | Dec 2021 (5y) | ||
| Justin Timothy Bennett | Registered representative | Dec 2021 (5y) | ||
| Jenna Lynn Reddick | Registered representative | Dec 2021 (5y) | ||
| Jonathon Edward Hughes | Registered representative | Jan 2022 (5y) | ||
| David Benjamin Mills | Registered representative | Jan 2022 (5y) | ||
| Ryan Jeffrey Jakubek | Registered representative | CFP | Feb 2022 (4y) | |
| Christian Jonathan Lena | Registered representative | Mar 2022 (4y) | ||
| Jack Beck Engel | Registered representative | Mar 2022 (4y) | ||
| Kent Caleb Larson | Registered representative | Mar 2022 (4y) | ||
| Ryan Nagle | Registered representative | Apr 2022 (4y) | ||
| Daniel Robert Pauscher | Registered representative | Jun 2022 (4y) | ||
| Hunter Thomas Burdick | Registered representative | Jun 2022 (4y) | ||
| Timothy Fleming | Registered representative | Jun 2022 (4y) | ||
| Kyle Brown | Registered representative | Jun 2022 (4y) | ||
| Lynn Boyd Strong | Registered representative | Jul 2022 (4y) | ||
| Travis Pyykkonen | Registered representative | Jul 2022 (4y) | ||
| Frank Venezia | Registered representative | Jul 2022 (4y) | ||
| Zachary Daniel Natale | Registered representative | Aug 2022 (4y) | ||
| Andrew Brualdi Shalgos | Registered representative | Aug 2022 (4y) | ||
| Bleri Bregu | Registered representative | Aug 2022 (4y) | ||
| Jakob Heggeland | Registered representative | Aug 2022 (4y) | ||
| Aaron J Wustefeld | Registered representative | Sep 2022 (4y) | ||
| Nicholas Kates Pelletier | Registered representative | CFA | Sep 2022 (4y) | |
| Jonathan Robert Hootman | Registered representative | Sep 2022 (4y) | ||
| James Michael Dougherty | Registered representative | Sep 2022 (4y) | ||
| Andrew Mark Kempe | Registered representative | Sep 2022 (4y) | ||
| Ryan Michael Goulding | Registered representative | Sep 2022 (4y) | ||
| Connor Chase Pelkey | Registered representative | Sep 2022 (4y) | ||
| Patrick Thomas Wright | Registered representative | Sep 2022 (4y) | ||
| Anthony Joseph Demet | Registered representative | Sep 2022 (4y) | ||
| William Evans | Registered representative | Sep 2022 (4y) | ||
| Alexander Ranieri | Registered representative | Oct 2022 (4y) | ||
| Jack Joseph Recker | Registered representative | Oct 2022 (4y) | ||
| Richard John De Rosa | Registered representative | Nov 2022 (4y) | ||
| Ellis Vazquez | Registered representative | Nov 2022 (4y) | ||
| Erin Corley Mc Ginnis | Registered representative | Nov 2022 (4y) | ||
| Dmarte Arafiles | Registered representative | Dec 2022 (4y) | ||
| Patrick L Sweeney | Registered representative | Dec 2022 (4y) | ||
| James Matthew West | Registered representative | Jan 2023 (4y) | ||
| Christopher Cummins | Registered representative | Jan 2023 (4y) | ||
| John Mullins | Registered representative | Jan 2023 (4y) | ||
| Andrey Burak | Registered representative | Feb 2023 (3y) | ||
| Matthew Ueland | Registered representative | Feb 2023 (3y) | ||
| Jeffrey Michael Struck | Registered representative | Feb 2023 (3y) | ||
| Jeff E Pearse | Registered representative | Mar 2023 (3y) | ||
| Dennis R Hammond | Registered representative | Mar 2023 (3y) | ||
| William Travis Coan | Registered representative | Mar 2023 (3y) | ||
| Julius Katz | Registered representative | Mar 2023 (3y) | ||
| Henry Charles Nelson | Registered representative | Apr 2023 (3y) | ||
| Jonathan Tyler Haspel | Registered representative | Apr 2023 (3y) | ||
| John Patrick Donovan | Registered representative | Apr 2023 (3y) | ||
| Joseph Anthony Budrewicz | Registered representative | May 2023 (3y) | ||
| Dillon Starry | Registered representative | May 2023 (3y) | ||
| David Steinle | Registered representative | Jun 2023 (3y) | ||
| Chase Clemens | Registered representative | Jul 2023 (3y) | ||
| James Patrick Phillips | Registered representative | CFP | Jul 2023 (3y) | |
| Tyler Ryan Christiansen | Registered representative | Jul 2023 (3y) | ||
| Brian Joseph Pawlowicz | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Michael Alan Eckhart | Registered representative | Aug 2023 (3y) | ||
| Owen Setran | Registered representative | Aug 2023 (3y) | ||
| David Lee Roth | Registered representative | Aug 2023 (3y) | ||
| Liam Patrick Hendricks | Registered representative | Aug 2023 (3y) | ||
| Ashley Nicole Toledo | Registered representative | Sep 2023 (3y) | ||
| Bradley Manning Stevens | Registered representative | Sep 2023 (3y) | ||
| Mason Robert Degenkolb | Registered representative | Sep 2023 (3y) | ||
| Christopher James Creighton | Registered representative | Sep 2023 (3y) | ||
| Taylor Gerard | Registered representative | Oct 2023 (3y) | ||
| Stefan Cefali | Registered representative | Oct 2023 (3y) | ||
| Meaghan Woelfel Bendure | Registered representative | Oct 2023 (3y) | ||
| Thomas Brian Marsh | Registered representative | CFA | Oct 2023 (3y) | |
| Andrew Howard Lilliston | Registered representative | Nov 2023 (3y) | ||
| Allison Eileen Connolly | Registered representative | Nov 2023 (3y) | ||
| Brian Renzo Bonino | Registered representative | Nov 2023 (3y) | ||
| Tyler Cockle | Registered representative | Dec 2023 (3y) | ||
| Jason James Harrison | Registered representative | Dec 2023 (3y) | ||
| Christian Michael Scappin | Registered representative | Jan 2024 (3y) | ||
| John Gilbert Donaldson | Registered representative | Jan 2024 (3y) | ||
| Austin Higgins | Registered representative | Jan 2024 (3y) | ||
| Eric Michael Szendrey | Registered representative | Feb 2024 (3y) | ||
| Ross Vande Weerd | Registered representative | Feb 2024 (2y) | ||
| Samuel Joseph Mc Gee | Registered representative | Feb 2024 (2y) | ||
| Michael Francis Reilley | Registered representative | Feb 2024 (2y) | ||
| Zachary Davidson | Registered representative | Mar 2024 (2y) | ||
| Anthony Bernard Gambino | Registered representative | Mar 2024 (2y) | ||
| Jack Anthony Balestrieri | Registered representative | Mar 2024 (2y) | ||
| John Thomas Forester | Registered representative | Mar 2024 (2y) | ||
| Jack Bennett | Registered representative | Mar 2024 (2y) | ||
| Jared Russell Nelson | Registered representative | Mar 2024 (2y) | ||
| Steven Samuel Scholes | Registered representative | Apr 2024 (2y) | ||
| Joseph Cifelli | Registered representative | Apr 2024 (2y) | ||
| James Towns | Registered representative | Apr 2024 (2y) | ||
| James Kowal | Registered representative | Apr 2024 (2y) | ||
| William Oliver Walsh | Registered representative | Apr 2024 (2y) | ||
| Nathan Conner Respondek | Registered representative | May 2024 (2y) | ||
| Grant John Markgraf | Registered representative | May 2024 (2y) | ||
| James Bourque | Registered representative | Jun 2024 (2y) | ||
| Thomas C O'brien | Registered representative | Jul 2024 (2y) | ||
| Christian Shaughnessy | Registered representative | Jul 2024 (2y) | ||
| Brendan T Majocha | Registered representative | Jul 2024 (2y) | ||
| Abbigale Elizabeth Mc Cullough | Registered representative | Aug 2024 (2y) | ||
| John Gordon Stewart Beckett | Registered representative | Aug 2024 (2y) | ||
| Michael Zunica | Registered representative | Aug 2024 (2y) | ||
| James Garrett Vander Waal | Registered representative | Aug 2024 (2y) | ||
| John Clarke Moriarity | Registered representative | Aug 2024 (2y) | ||
| Kevin N Barlow | Registered representative | Aug 2024 (2y) | ||
| Nicholas Rovi | Registered representative | Aug 2024 (2y) | ||
| Carson Grebe | Registered representative | Sep 2024 (2y) | ||
| Megan Jaye Mc Kay | Registered representative | Sep 2024 (2y) | ||
| Peter Michael Murray | Registered representative | Sep 2024 (2y) | ||
| Christopher James Beedie | Registered representative | Oct 2024 (2y) | ||
| Jeffrey James Johnson | Registered representative | CFA | Oct 2024 (2y) | |
| Roberto Vincenzo Fatta | Registered representative | Oct 2024 (2y) | ||
| Eric Mitchell Gasienica | Registered representative | Oct 2024 (2y) | ||
| Michael Valicento | Registered representative | Oct 2024 (2y) | ||
| Samuel Robert Corr | Registered representative | Nov 2024 (2y) | ||
| Ellie Marie Eldridge | Registered representative | Nov 2024 (2y) | ||
| Garrett Komiskey | Registered representative | CFA | Nov 2024 (2y) | |
| Gerald Moore | Registered representative | CFA | Nov 2024 (2y) | |
| George Schmelzle | Registered representative | Nov 2024 (2y) | ||
| Thomas Witbeck Tinsley | Registered representative | Nov 2024 (2y) | ||
| Michael Egan | Registered representative | CFP | Nov 2024 (2y) | |
| Anthony Louis Cirillo | Registered representative | CFA | Nov 2024 (2y) | |
| Thomas Walbrun | Registered representative | CFA | Nov 2024 (2y) | |
| Robert M Carr | Registered representative | Dec 2024 (2y) | ||
| Mark R Baker | Registered representative | Dec 2024 (2y) | ||
| Bethann Beiermeister | Registered representative | Dec 2024 (2y) | ||
| Kevin Michael Erndl | Registered representative | Dec 2024 (2y) | ||
| Colin Mc Caffrey | Registered representative | Dec 2024 (2y) | ||
| Nathan Berry Hooker | Registered representative | Jan 2025 (2y) | ||
| Justin Appel | Registered representative | Jan 2025 (2y) | ||
| Caleb Jeffery Greene | Registered representative | Jan 2025 (2y) | ||
| Kavi Shelar | Registered representative | CFA | Feb 2025 (1y) | |
| Martin Pesch | Registered representative | CFA | Feb 2025 (1y) | |
| Cazimy Coulanges | Registered representative | Feb 2025 (1y) | ||
| Austin Riley Pronovost | Registered representative | Feb 2025 (1y) | ||
| Harrison Gross | Registered representative | Feb 2025 (1y) | ||
| Ty Richard Vanker | Registered representative | Feb 2025 (1y) | ||
| Edward Powers Cahill | Registered representative | Mar 2025 (1y) | ||
| Salvatore Michael Lio | Registered representative | Mar 2025 (1y) | ||
| Payton Godchaux | Registered representative | Mar 2025 (1y) | ||
| Connor Long | Registered representative | Apr 2025 (1y) | ||
| Drew Polezoes | Registered representative | Apr 2025 (1y) | ||
| Mitchell Becker | Registered representative | Apr 2025 (1y) | ||
| Kevin Laytin Ziets | Registered representative | CFA | Apr 2025 (1y) | |
| Michael Edward Flynn | Registered representative | Apr 2025 (1y) | ||
| Mark Richard Skelton | Registered representative | May 2025 (1y) | ||
| Jacob Stout | Registered representative | May 2025 (1y) | ||
| Thomas Fanjoy | Registered representative | May 2025 (1y) | ||
| William Judson Kennemer | Registered representative | Jun 2025 (1y) | ||
| Donald Richard Baskin | Registered representative | Jun 2025 (1y) | ||
| Philip Vincent Costa | Registered representative | Jun 2025 (1y) | ||
| Alex Kendall Mager | Registered representative | Jun 2025 (1y) | ||
| David Gunnar Peterson | Registered representative | Jun 2025 (1y) | ||
| Noah James Czajkowski | Registered representative | Jun 2025 (1y) | ||
| Michael Steven Strizak | Registered representative | Jul 2025 (1y) | ||
| Daniel Brandt Mc Garry | Registered representative | Jul 2025 (1y) | ||
| Peter William Hurley | Registered representative | Jul 2025 (1y) | ||
| Zachary Peter Sutter | Registered representative | Jul 2025 (1y) | ||
| Alexander Ford Bouton | Registered representative | Jul 2025 (1y) | ||
| Liam Aronoff | Registered representative | Jul 2025 (1y) | ||
| Vincent Anthony Marnell | Registered representative | Aug 2025 (1y) | ||
| Joseph Dellumo | Registered representative | Aug 2025 (1y) | ||
| Owen Hughes | Registered representative | Aug 2025 (1y) | ||
| Mario Santamaria | Registered representative | Aug 2025 (1y) | ||
| Alan Garett Orlov | Registered representative | Aug 2025 (1y) | ||
| Ross Allen Weeden | Registered representative | Aug 2025 (1y) | ||
| Steven Paul Fraley | Registered representative | CFA | Aug 2025 (1y) | |
| Daniel Matthew Geyer | Registered representative | Sep 2025 (1y) | ||
| Joseph Ronald Belskis | Registered representative | Sep 2025 (1y) | ||
| Louis Perkins | Registered representative | Sep 2025 (1y) | ||
| Raymond La Forte | Registered representative | Oct 2025 (1y) | ||
| Bret Cultra | Registered representative | Oct 2025 (1y) | ||
| Brett P Robinson | Registered representative | Oct 2025 (1y) | ||
| Connor Mc Carthy | Registered representative | Nov 2025 (1y) | ||
| Bradley James Ferrell | Registered representative | Nov 2025 (1y) | ||
| Geoffrey Dellinger | Registered representative | Nov 2025 (1y) | ||
| Scott Torocco | Registered representative | Nov 2025 (1y) | ||
| Seth Downs | Registered representative | Nov 2025 (1y) | ||
| Matt Blair O Brien | Registered representative | Dec 2025 (1y) | ||
| Scott Andrew Gallagher | Registered representative | Dec 2025 (1y) | ||
| Grant Falite | Registered representative | Dec 2025 (1y) | ||
| Tate Jennings Anderson | Registered representative | Dec 2025 (1y) | ||
| Benjamin Schmidt | Registered representative | CFA | Dec 2025 (1y) | |
| William Andrew Folland | Registered representative | Jan 2026 (1y) | ||
| Connor Jackson Williams | Registered representative | Jan 2026 (1y) | ||
| Kevin J Calder | Registered representative | Jan 2026 (1y) | ||
| Fidel Antelo | Registered representative | Feb 2026 (0y) | ||
| Jared Ellis | Registered representative | Feb 2026 (0y) | ||
| Paul Bello | Registered representative | Mar 2026 (0y) | ||
| Avery Pogue | Registered representative | Mar 2026 (0y) | ||
| Steven Christopher Ruta | Registered representative | Mar 2026 (0y) | ||
| Weiland Johnson | Registered representative | Mar 2026 (0y) | ||
| Jordan Schroeder | Registered representative | Apr 2026 (0y) | ||
| Wesley Thomas Ehlers | Registered representative | Apr 2026 (0y) | ||
| Steve Krull | Registered representative | CFA | Apr 2026 (0y) | |
| William Reinhold Hirsch | Registered representative | Apr 2026 (0y) | ||
| Rustin Steven Vanker | Registered representative | Apr 2026 (0y) | ||
| Benjamin Lee Stokley | Registered representative | Apr 2026 (0y) | ||
| Luke Corvino Dvorak | Registered representative | Apr 2026 (0y) | ||
| Jack Dilworth | Registered representative | May 2026 (0y) | ||
| Trevor Bronson Kane | Registered representative | May 2026 (0y) | ||
| Ashlee Lynn Rhodes | Registered representative | May 2026 (0y) | ||
| Michael Anthony Ancheta | Registered representative | May 2026 (0y) | ||
| James Francis Gurgone | Registered representative | May 2026 (0y) | ||
| Brian Michael Tague | Registered representative | Jun 2026 (0y) | ||
| Jonathan Paul Henze | Registered representative | Jun 2026 (0y) | ||
| Andrew John Heidenthal | Registered representative | Jun 2026 (0y) | ||
| Jay Patel | Registered representative | Jun 2026 (0y) | ||
| Angellina Dowd | Registered representative | Jun 2026 (0y) | ||
| Nicholas Kelly Polston | Registered representative | Jul 2026 (0y) | ||
| Daniel Michael Affetto | Registered representative | Jul 2026 (0y) | ||
| John Reid Curlin | Registered representative | Jul 2026 (0y) | ||
| Giorgio Alessandria | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Grace Partners Of Dupage L.P. | Limited Partner | Aug 1991 | A | 75% or more |
| The Charger Corporation | General Partner | Aug 1991 | A | Less than 5% |
| Ajm Ventures Llc | Shareholder | Oct 2010 | B | ≈ 0% – 5% via The Charger Corporation |
| The Charger Corporation | General Partner | Aug 1991 | B | GP / trustee / elected manager of Grace Partners Of Dupage L.P. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- James Allen Bowen: 75% – 100% of Ajm Ventures Llc × 75% – 100% of The Charger Corporation × 0% – 5% direct ≈ 0% – 5% of the firm
- Ajm Ventures Llc: 75% – 100% of The Charger Corporation × 0% – 5% direct ≈ 0% – 5% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Stauffer Biscuit Company Pension Plan | D. F. Stauffer Biscuit Company, Inc | 9 | $16.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/30/2026 | 2.06 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.E(2)
as of Dec 02, 2024
Allegations: ON OCTOBER 19, 2022, FTA HELD A LONG POSITION IN DECEMBER 2022 LEAN HOG FUTURES THAT EXCEEDED THE POSITION LIMIT BY 463 CONTRACTS. Status: Final Sanction Detail: ON OCTOBER 19, 2022, FTA HELD A LONG POSITION IN DECEMBER 2022 LEAN HOG FUTURES THAT EXCEEDED THE POSITION LIMIT BY 463 CONTRACTS. SUBSEQUENTLY, FTA LIQUIDATED THE EXCESS CONTRACTS, WHICH RESULTED IN A PROFIT. ON SEPTEMBER 6, 2023, FTA AGREED TO PAY A FINE OF $15,000 AND DISGORGE PROFITS OF $31,938. Summary: ON OCTOBER 19, 2022, FTA HELD A LONG POSITION IN DECEMBER 2022 LEAN HOG FUTURES THAT EXCEEDED THE POSITION LIMIT BY 463 CONTRACTS. SUBSEQUENTLY, FTA LIQUIDATED THE EXCESS CONTRACTS, WHICH RESULTED IN A PROFIT. ON SEPTEMBER 6, 2023, FTA AGREED TO PAY A FINE OF $15,000 AND DISGORGE PROFITS OF $31,938.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
- • Other fees
- • FIXED FEES PER UNIT (UITS) FOR PORTFOLIO SUPERVISORY SERVICES
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Publication of periodicals or newsletters
Custody
Reported custodians
- Charles Schwab & Co. $2.3B (1% of AUM) Apr 2026
- National Financial Services (Fidelity) $1.4B (0% of AUM) Apr 2026
- Wells Fargo $155M (0% of AUM) Dec 2024
- Stifel, Nicolaus & Company, Incorporated $63.0M (0% of AUM) Mar 2022
- Morgan Stanley $59.0M (0% of AUM) Mar 2019
- Raymond James $48.0M (0% of AUM) Dec 2024
- LPL Financial $42.0M (0% of AUM) Dec 2024
- UBS $40.0M (0% of AUM) Dec 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 30, 2026.
View current Form ADV (SEC/IAPD) ↗