FIRST TRUST ADVISORS LP

HTTPS://WWW.FTPORTFOLIOS.COM WHEATON, IL Trust Investment Advisor How do I update this listing?

First Trust Advisors is based out of Wheaton. First Trust Advisors is a large advisory firm with 3587 clients and discretionary assets under management (AUM) of $67,381,000,000 (Form ADV from 2019-03-29). Their last reported 13F filing for Q2 2019 included $53,041,052,000 in managed 13F securities and a top 10 holdings concentration of 12.11%. First Trust Advisors's largest holding is Amazon.com Inc. with shares held of 539,243. Whalewisdom has at least 90 13F filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $53.041 Billion
  • Prior Market Value $50.306 Billion
  • New Purchases176 stocks
  • Additional Purchases1091 stocks
  • Sold out of166 stocks
  • Reduced holdings in1142 stocks
  • Top 10 Holdings % 12.11 %
  • Turnover % [1]:14.18%
  • Turnover Alt % [2]: 17.47 %
  • Time Held Top20:9.35 quarters
  • Time Held Top10:10.60 quarters
  • Time Held All:20.96 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -2.41%
Performance Last 4 Quarters: -2.12%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR/A (Subscription required)
  • 2019-03-31 - 13F-HR/A (Subscription required)
  • 2019-03-31 - 13F-HR/A (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR/A (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR/A (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR/A (Subscription required)
  • 2011-12-31 - 13F-HR/A (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR/A (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR/A (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR/A (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
  • 2002-09-30 - 13F-HR (Subscription required)
  • 2002-06-30 - 13F-HR (Subscription required)
  • 2002-03-31 - 13F-HR (Subscription required)
  • 2001-12-31 - 13F-HR (Subscription required)
  • 2001-09-30 - 13F-HR/A (Subscription required)
  • 2001-09-30 - 13F-HR (Subscription required)
  • 2001-06-30 - 13F-HR (Subscription required)
  • 2001-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

FIRST TRUST ADVISORS LP
120 E. LIBERTY DRIVE SUITE 400
WHEATON IL    60187
Country: United States

Business Phone: 630-765-8000
Fax: 630-765-8610
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Partnership
Organized in: IL
Number of employees: 495
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,FIXED FEES PER UNIT (UITS) FOR SUPERVISORY SERVICES
Amount of client funds and securities:
Total Number of Clients: 3587
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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FIRST TRUST ADVISORS LP

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
GRACE PARTNERS OF DUPAGE L.P. LIMITED PARTNER 08/01/1991 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP LIMITED PARTNER direct 1991-08-01
ENERGY INCOME PARTNERS LLC LIMITED PARTNER indirect 1991-08-01
VALHALLA CAPITAL PARTNERS, LLC LIMITED PARTNER indirect 1991-08-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED LIMITED PARTNER indirect 1998-11-01
STONEBRIDGE ADVISORS LLC NON-MANAGING MEMBER indirect 2006-08-01
BONDWAVE LLC NON-MANAGING MEMBER indirect 2006-08-01
CONFLUENCE INVESTMENT MANAGEMENT LLC LIMITED PARTNER indirect 1991-08-01 2008-06-12
AVIANCE CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 1991-08-01 2013-06-03
STONEBRIDGE ADVISORS LLC LIMITED PARTNER indirect 1991-08-01 2015-04-13
BONDWAVE LLC LIMITED PARTNER indirect 1991-08-01 2015-12-03
BONDWAVE LLC NON-MANAGING MEMBER indirect 2016-01-01 2016-01-29
THE CHARGER CORPORATION GENERAL PARTNER 08/01/1991 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP GENERAL PARTNER direct 1991-08-01
STONEBRIDGE ADVISORS LLC GENERAL PARTNER indirect 1991-08-01
FIRST TRUST ADVISORS LP GENERAL PARTNER indirect 1991-08-01
VALHALLA CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 1991-08-01
VALHALLA CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 1991-08-01
BONDWAVE LLC GENERAL PARTNER indirect 1991-08-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED GENERAL PARTNER indirect 1991-08-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED GENERAL PARTNER indirect 1998-11-01
STONEBRIDGE ADVISORS LLC MANAGING MEMBER indirect 2006-08-01
BONDWAVE LLC MANAGING MEMBER indirect 2006-08-01
ENERGY INCOME PARTNERS LLC MEMBER, MANAGER indirect 2007-06-01
CONFLUENCE INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 1991-08-01 2008-06-12
CONFLUENCE CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 1991-08-01 2008-06-12
AVIANCE CAPITAL MANAGEMENT, LLC MEMBER, MANAGER indirect 2007-06-01 2013-06-03
STONEBRIDGE ADVISORS LLC GENERAL PARTNER indirect 1991-05-01 2015-04-13
BONDWAVE LLC GENERAL PARTNER indirect 1991-05-01 2015-12-03
BONDWAVE LLC MANAGING MEMBER indirect 2016-01-01 2016-01-29
JARDINE, WILLIAM, SCOTT GENERAL COUNSEL 03/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP GENERAL COUNSEL direct 1995-03-01
BONDWAVE LLC CORPORATE SECRETARY direct 2001-04-01
STONEBRIDGE ADVISORS LLC SECRETARY direct 2004-12-01
BONDWAVE LLC GENERAL COUNSEL direct 2009-08-01
FIRST TRUST ADVISORS LP CHIEF COMPLIANCE OFFICER direct 2007-12-01 2008-01-02
HALL, ROBERT, SCOTT MANAGING DIRECTOR 01/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP MANAGING DIRECTOR direct 2002-01-01
BROWN, KATHLEEN, WIELAND CHIEF COMPLIANCE OFFICER 02/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILLIAM BLAIR & COMPANY L.L.C. PRINCIPAL, CHIEF COMPLIANCE OFFICER direct 1992-01-01
WILLIAM BLAIR & COMPANY L.L.C. PRINCIPAL, BROKER-DEALER CHIEF COMPLIANCE OFFICER direct 1992-01-01
FIRST TRUST ADVISORS LP CHIEF COMPLIANCE OFFICER direct 2008-02-01
BONDWAVE LLC CHIEF COMPLIANCE OFFICER direct 2008-02-01
ROGGENSACK, ANDREW, SCOTT PRESIDENT 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP PRESIDENT direct 2010-12-01
BONDWAVE LLC DIRECTOR direct 2001-04-01
BONDWAVE LLC BOARD MEMBER direct 2001-04-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED DIRECTOR direct 2011-12-01
BOWEN, JAMES, ALLEN CHIEF EXECUTIVE OFFICER 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BONDWAVE LLC CHAIRMAN OF THE BOARD direct 2001-04-01
STONEBRIDGE ADVISORS LLC CHAIRMAN OF THE BOARD direct 2004-12-01
ENERGY INCOME PARTNERS LLC SOLE SHAREHOLDER indirect 2010-10-01
STONEBRIDGE ADVISORS LLC SOLE SHAREHOLDER indirect 2010-10-01
BONDWAVE LLC SOLE SHAREHOLDER indirect 2010-10-01
FIRST TRUST ADVISORS LP SOLE SHAREHOLDER indirect 2010-10-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED SOLE SHAREHOLDER indirect 2010-10-01
FIRST TRUST ADVISORS LP CHIEF EXECUTIVE OFFICER direct 2010-12-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED DIRECTOR direct 2011-12-01
SECURITIES EVALUATION SERVICE INC VP,DIRECTOR direct 1987-10-01 2005-02-11
FIRST TRUST ADVISORS LP PRESIDENT direct 1991-08-01 2010-10-13
BONDWAVE LLC SHAREHOLDER indirect 2010-10-01 2010-10-13
FIRST TRUST ADVISORS LP SHAREHOLDER indirect 2010-10-01 2010-10-13
STONEBRIDGE ADVISORS LLC SHAREHOLDER indirect 2010-10-01 2011-01-05
STONEBRIDGE ADVISORS LLC SHAREHOLDER indirect 2010-10-01 2011-02-03
ENERGY INCOME PARTNERS LLC SHAREHOLDER indirect 2010-10-01 2011-11-16
AVIANCE CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2010-10-01 2013-06-03
ENERGY INCOME PARTNERS LLC SHAREHOLDER indirect 2101-10-01 2015-03-23
FIRST TRUST GLOBAL PORTFOLIOS LIMITED SOLE SHAREHOLDER indirect 2010-10-01 2016-03-30
MCGAREL, DAVID, GERARD MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER direct 2012-07-01
FIRST TRUST ADVISORS LP CHIEF OPERATING OFFICER direct 2016-01-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED DIRECTOR direct 2016-01-01
LINDQUIST, DANIEL, JOEL MANAGING DIRECTOR 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP MANAGING DIRECTOR direct 2012-07-01
DYKAS, JAMES, MARTIN CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP CHIEF FINANCIAL OFFICER direct 2016-01-01
FIRST TRUST ADVISORS LP CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR direct 2016-01-01
BONDWAVE LLC CHIEF FINANCIAL OFFICER direct 2016-01-01
BONDWAVE LLC BOARD MEMBER direct 2016-01-01
STONEBRIDGE ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2013-01-01
STONEBRIDGE ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2016-01-01
MCGAREL, DAVID, GERARD CHIEF OPERATING OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER direct 2012-07-01
FIRST TRUST ADVISORS LP CHIEF OPERATING OFFICER direct 2016-01-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED DIRECTOR direct 2016-01-01
THE CHARGER CORPORATION GENERAL PARTNER GRACE PARTNERS OF DUPAGE L.P. 08/01/1991 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP GENERAL PARTNER direct 1991-08-01
STONEBRIDGE ADVISORS LLC GENERAL PARTNER indirect 1991-08-01
FIRST TRUST ADVISORS LP GENERAL PARTNER indirect 1991-08-01
VALHALLA CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 1991-08-01
VALHALLA CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 1991-08-01
BONDWAVE LLC GENERAL PARTNER indirect 1991-08-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED GENERAL PARTNER indirect 1991-08-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED GENERAL PARTNER indirect 1998-11-01
STONEBRIDGE ADVISORS LLC MANAGING MEMBER indirect 2006-08-01
BONDWAVE LLC MANAGING MEMBER indirect 2006-08-01
ENERGY INCOME PARTNERS LLC MEMBER, MANAGER indirect 2007-06-01
CONFLUENCE INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 1991-08-01 2008-06-12
CONFLUENCE CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 1991-08-01 2008-06-12
AVIANCE CAPITAL MANAGEMENT, LLC MEMBER, MANAGER indirect 2007-06-01 2013-06-03
STONEBRIDGE ADVISORS LLC GENERAL PARTNER indirect 1991-05-01 2015-04-13
BONDWAVE LLC GENERAL PARTNER indirect 1991-05-01 2015-12-03
BONDWAVE LLC MANAGING MEMBER indirect 2016-01-01 2016-01-29
BOWEN, JAMES, ALLEN SOLE SHAREHOLDER AJM VENTURES LLC 10/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BONDWAVE LLC CHAIRMAN OF THE BOARD direct 2001-04-01
STONEBRIDGE ADVISORS LLC CHAIRMAN OF THE BOARD direct 2004-12-01
ENERGY INCOME PARTNERS LLC SOLE SHAREHOLDER indirect 2010-10-01
STONEBRIDGE ADVISORS LLC SOLE SHAREHOLDER indirect 2010-10-01
BONDWAVE LLC SOLE SHAREHOLDER indirect 2010-10-01
FIRST TRUST ADVISORS LP SOLE SHAREHOLDER indirect 2010-10-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED SOLE SHAREHOLDER indirect 2010-10-01
FIRST TRUST ADVISORS LP CHIEF EXECUTIVE OFFICER direct 2010-12-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED DIRECTOR direct 2011-12-01
SECURITIES EVALUATION SERVICE INC VP,DIRECTOR direct 1987-10-01 2005-02-11
FIRST TRUST ADVISORS LP PRESIDENT direct 1991-08-01 2010-10-13
BONDWAVE LLC SHAREHOLDER indirect 2010-10-01 2010-10-13
FIRST TRUST ADVISORS LP SHAREHOLDER indirect 2010-10-01 2010-10-13
STONEBRIDGE ADVISORS LLC SHAREHOLDER indirect 2010-10-01 2011-01-05
STONEBRIDGE ADVISORS LLC SHAREHOLDER indirect 2010-10-01 2011-02-03
ENERGY INCOME PARTNERS LLC SHAREHOLDER indirect 2010-10-01 2011-11-16
AVIANCE CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2010-10-01 2013-06-03
ENERGY INCOME PARTNERS LLC SHAREHOLDER indirect 2101-10-01 2015-03-23
FIRST TRUST GLOBAL PORTFOLIOS LIMITED SOLE SHAREHOLDER indirect 2010-10-01 2016-03-30
AJM VENTURES LLC SHAREHOLDER THE CHARGER CORPORATION 10/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP SHAREHOLDER indirect 2010-10-01
BONDWAVE LLC SHAREHOLDER indirect 2010-10-01
STONEBRIDGE ADVISORS LLC SHAREHOLDER indirect 2010-10-01
ENERGY INCOME PARTNERS LLC SOLE SHAREHOLDER indirect 2010-10-01
ENERGY INCOME PARTNERS LLC SHAREHOLDER indirect 2010-10-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED SHAREHOLDER indirect 2010-10-01

FIRST TRUST ADVISORS LP

ownership team - last updated 2017-07-06
Name Title Start Date Direct/Indirect % Ownership
MCGAREL, DAVID, GERARD CHIEF OPERATING OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER direct 2012-07-01
FIRST TRUST ADVISORS LP CHIEF OPERATING OFFICER direct 2016-01-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED DIRECTOR direct 2016-01-01
DYKAS, JAMES, MARTIN CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP CHIEF FINANCIAL OFFICER direct 2016-01-01
FIRST TRUST ADVISORS LP CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR direct 2016-01-01
BONDWAVE LLC CHIEF FINANCIAL OFFICER direct 2016-01-01
BONDWAVE LLC BOARD MEMBER direct 2016-01-01
STONEBRIDGE ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2013-01-01
STONEBRIDGE ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2016-01-01
LINDQUIST, DANIEL, JOEL MANAGING DIRECTOR 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP MANAGING DIRECTOR direct 2012-07-01
MCGAREL, DAVID, GERARD MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER 07/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER direct 2012-07-01
FIRST TRUST ADVISORS LP CHIEF OPERATING OFFICER direct 2016-01-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED DIRECTOR direct 2016-01-01
BOWEN, JAMES, ALLEN CHIEF EXECUTIVE OFFICER 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
BONDWAVE LLC CHAIRMAN OF THE BOARD direct 2001-04-01
STONEBRIDGE ADVISORS LLC CHAIRMAN OF THE BOARD direct 2004-12-01
ENERGY INCOME PARTNERS LLC SOLE SHAREHOLDER indirect 2010-10-01
STONEBRIDGE ADVISORS LLC SOLE SHAREHOLDER indirect 2010-10-01
BONDWAVE LLC SOLE SHAREHOLDER indirect 2010-10-01
FIRST TRUST ADVISORS LP SOLE SHAREHOLDER indirect 2010-10-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED SOLE SHAREHOLDER indirect 2010-10-01
FIRST TRUST ADVISORS LP CHIEF EXECUTIVE OFFICER direct 2010-12-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED DIRECTOR direct 2011-12-01
SECURITIES EVALUATION SERVICE INC VP,DIRECTOR direct 1987-10-01 2005-02-11
FIRST TRUST ADVISORS LP PRESIDENT direct 1991-08-01 2010-10-13
BONDWAVE LLC SHAREHOLDER indirect 2010-10-01 2010-10-13
FIRST TRUST ADVISORS LP SHAREHOLDER indirect 2010-10-01 2010-10-13
STONEBRIDGE ADVISORS LLC SHAREHOLDER indirect 2010-10-01 2011-01-05
STONEBRIDGE ADVISORS LLC SHAREHOLDER indirect 2010-10-01 2011-02-03
ENERGY INCOME PARTNERS LLC SHAREHOLDER indirect 2010-10-01 2011-11-16
AVIANCE CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2010-10-01 2013-06-03
ENERGY INCOME PARTNERS LLC SHAREHOLDER indirect 2101-10-01 2015-03-23
FIRST TRUST GLOBAL PORTFOLIOS LIMITED SOLE SHAREHOLDER indirect 2010-10-01 2016-03-30
ROGGENSACK, ANDREW, SCOTT PRESIDENT 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP PRESIDENT direct 2010-12-01
BONDWAVE LLC DIRECTOR direct 2001-04-01
BONDWAVE LLC BOARD MEMBER direct 2001-04-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED DIRECTOR direct 2011-12-01
BROWN, KATHLEEN, WIELAND CHIEF COMPLIANCE OFFICER 02/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILLIAM BLAIR & COMPANY L.L.C. PRINCIPAL, CHIEF COMPLIANCE OFFICER direct 1992-01-01
WILLIAM BLAIR & COMPANY L.L.C. PRINCIPAL, BROKER-DEALER CHIEF COMPLIANCE OFFICER direct 1992-01-01
FIRST TRUST ADVISORS LP CHIEF COMPLIANCE OFFICER direct 2008-02-01
BONDWAVE LLC CHIEF COMPLIANCE OFFICER direct 2008-02-01
HALL, ROBERT, SCOTT MANAGING DIRECTOR 01/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP MANAGING DIRECTOR direct 2002-01-01
JARDINE, WILLIAM, SCOTT GENERAL COUNSEL 03/01/1995 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP GENERAL COUNSEL direct 1995-03-01
BONDWAVE LLC CORPORATE SECRETARY direct 2001-04-01
STONEBRIDGE ADVISORS LLC SECRETARY direct 2004-12-01
BONDWAVE LLC GENERAL COUNSEL direct 2009-08-01
FIRST TRUST ADVISORS LP CHIEF COMPLIANCE OFFICER direct 2007-12-01 2008-01-02
THE CHARGER CORPORATION GENERAL PARTNER 08/01/1991 Direct less than 5%
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP GENERAL PARTNER direct 1991-08-01
STONEBRIDGE ADVISORS LLC GENERAL PARTNER indirect 1991-08-01
FIRST TRUST ADVISORS LP GENERAL PARTNER indirect 1991-08-01
VALHALLA CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 1991-08-01
VALHALLA CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 1991-08-01
BONDWAVE LLC GENERAL PARTNER indirect 1991-08-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED GENERAL PARTNER indirect 1991-08-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED GENERAL PARTNER indirect 1998-11-01
STONEBRIDGE ADVISORS LLC MANAGING MEMBER indirect 2006-08-01
BONDWAVE LLC MANAGING MEMBER indirect 2006-08-01
ENERGY INCOME PARTNERS LLC MEMBER, MANAGER indirect 2007-06-01
CONFLUENCE INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 1991-08-01 2008-06-12
CONFLUENCE CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 1991-08-01 2008-06-12
AVIANCE CAPITAL MANAGEMENT, LLC MEMBER, MANAGER indirect 2007-06-01 2013-06-03
STONEBRIDGE ADVISORS LLC GENERAL PARTNER indirect 1991-05-01 2015-04-13
BONDWAVE LLC GENERAL PARTNER indirect 1991-05-01 2015-12-03
BONDWAVE LLC MANAGING MEMBER indirect 2016-01-01 2016-01-29
GRACE PARTNERS OF DUPAGE L.P. LIMITED PARTNER 08/01/1991 Direct 75% or more
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP LIMITED PARTNER direct 1991-08-01
ENERGY INCOME PARTNERS LLC LIMITED PARTNER indirect 1991-08-01
VALHALLA CAPITAL PARTNERS, LLC LIMITED PARTNER indirect 1991-08-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED LIMITED PARTNER indirect 1998-11-01
STONEBRIDGE ADVISORS LLC NON-MANAGING MEMBER indirect 2006-08-01
BONDWAVE LLC NON-MANAGING MEMBER indirect 2006-08-01
CONFLUENCE INVESTMENT MANAGEMENT LLC LIMITED PARTNER indirect 1991-08-01 2008-06-12
AVIANCE CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 1991-08-01 2013-06-03
STONEBRIDGE ADVISORS LLC LIMITED PARTNER indirect 1991-08-01 2015-04-13
BONDWAVE LLC LIMITED PARTNER indirect 1991-08-01 2015-12-03
BONDWAVE LLC NON-MANAGING MEMBER indirect 2016-01-01 2016-01-29
AJM VENTURES LLC SHAREHOLDER THE CHARGER CORPORATION 10/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP SHAREHOLDER indirect 2010-10-01
BONDWAVE LLC SHAREHOLDER indirect 2010-10-01
STONEBRIDGE ADVISORS LLC SHAREHOLDER indirect 2010-10-01
ENERGY INCOME PARTNERS LLC SOLE SHAREHOLDER indirect 2010-10-01
ENERGY INCOME PARTNERS LLC SHAREHOLDER indirect 2010-10-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED SHAREHOLDER indirect 2010-10-01
BOWEN, JAMES, ALLEN SOLE SHAREHOLDER AJM VENTURES LLC 10/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
BONDWAVE LLC CHAIRMAN OF THE BOARD direct 2001-04-01
STONEBRIDGE ADVISORS LLC CHAIRMAN OF THE BOARD direct 2004-12-01
ENERGY INCOME PARTNERS LLC SOLE SHAREHOLDER indirect 2010-10-01
STONEBRIDGE ADVISORS LLC SOLE SHAREHOLDER indirect 2010-10-01
BONDWAVE LLC SOLE SHAREHOLDER indirect 2010-10-01
FIRST TRUST ADVISORS LP SOLE SHAREHOLDER indirect 2010-10-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED SOLE SHAREHOLDER indirect 2010-10-01
FIRST TRUST ADVISORS LP CHIEF EXECUTIVE OFFICER direct 2010-12-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED DIRECTOR direct 2011-12-01
SECURITIES EVALUATION SERVICE INC VP,DIRECTOR direct 1987-10-01 2005-02-11
FIRST TRUST ADVISORS LP PRESIDENT direct 1991-08-01 2010-10-13
BONDWAVE LLC SHAREHOLDER indirect 2010-10-01 2010-10-13
FIRST TRUST ADVISORS LP SHAREHOLDER indirect 2010-10-01 2010-10-13
STONEBRIDGE ADVISORS LLC SHAREHOLDER indirect 2010-10-01 2011-01-05
STONEBRIDGE ADVISORS LLC SHAREHOLDER indirect 2010-10-01 2011-02-03
ENERGY INCOME PARTNERS LLC SHAREHOLDER indirect 2010-10-01 2011-11-16
AVIANCE CAPITAL MANAGEMENT, LLC SOLE MEMBER indirect 2010-10-01 2013-06-03
ENERGY INCOME PARTNERS LLC SHAREHOLDER indirect 2101-10-01 2015-03-23
FIRST TRUST GLOBAL PORTFOLIOS LIMITED SOLE SHAREHOLDER indirect 2010-10-01 2016-03-30
THE CHARGER CORPORATION GENERAL PARTNER GRACE PARTNERS OF DUPAGE L.P. 08/01/1991 Indirect Other
Fund Name Position direct/indirect start date end date
FIRST TRUST ADVISORS LP GENERAL PARTNER direct 1991-08-01
STONEBRIDGE ADVISORS LLC GENERAL PARTNER indirect 1991-08-01
FIRST TRUST ADVISORS LP GENERAL PARTNER indirect 1991-08-01
VALHALLA CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 1991-08-01
VALHALLA CAPITAL PARTNERS, LLC GENERAL PARTNER indirect 1991-08-01
BONDWAVE LLC GENERAL PARTNER indirect 1991-08-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED GENERAL PARTNER indirect 1991-08-01
FIRST TRUST GLOBAL PORTFOLIOS LIMITED GENERAL PARTNER indirect 1998-11-01
STONEBRIDGE ADVISORS LLC MANAGING MEMBER indirect 2006-08-01
BONDWAVE LLC MANAGING MEMBER indirect 2006-08-01
ENERGY INCOME PARTNERS LLC MEMBER, MANAGER indirect 2007-06-01
CONFLUENCE INVESTMENT MANAGEMENT LLC GENERAL PARTNER indirect 1991-08-01 2008-06-12
CONFLUENCE CAPITAL MANAGEMENT LLC GENERAL PARTNER indirect 1991-08-01 2008-06-12
AVIANCE CAPITAL MANAGEMENT, LLC MEMBER, MANAGER indirect 2007-06-01 2013-06-03
STONEBRIDGE ADVISORS LLC GENERAL PARTNER indirect 1991-05-01 2015-04-13
BONDWAVE LLC GENERAL PARTNER indirect 1991-05-01 2015-12-03
BONDWAVE LLC MANAGING MEMBER indirect 2016-01-01 2016-01-29

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