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FIRST TRUST INVESTMENT SOLUTIONS L.P.

NAPLES, FL · CRD 328327 · IAPD ↗ · ftsma.com · (239) 219-0550

$518.1MRegulatory AUM
7Advisory reps
8Employees
0Clients
0Planning clients
1Private funds
34States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
January 2025 — FIRST TRUST INVESTMENT SOLUTIONS L.P. (NAPLES, FL) left the SEC roster (was $518.1M RAUM, 7 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
45
May 2024 — FIRST TRUST INVESTMENT SOLUTIONS L.P. notice-filed in AK.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2024 — FIRST TRUST INVESTMENT SOLUTIONS L.P. crossed $500M in regulatory AUM ($469.1M -> $518.1M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.