FIRST TRUST GLOBAL PORTFOLIOS LTD.
FIRST TRUST GLOBAL PORTFOLIOS LIMITED Legal Name
Adviser information for FIRST TRUST GLOBAL PORTFOLIOS LTD. last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 33 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $171.5M |
| Non-Discretionary | 2 | $854,313 |
| Total | 5 | $172.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $149.1M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $18.2M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 2 | $5.0M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 80 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisorUS & UCITS FUND DISTRIBUTOR IN THE UNITED KINGDOM |
Identifiers
| SEC RIA File Number | 801-79653 |
|---|---|
| SEC ERA File Number | 801-79653 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 169173 |
| Legal Entity Identifier | 213800V2COLBEVZKTC58 |
Principal Office
8 ANGEL COURTLONDON
United Kingdom
Monday - Friday, 0800-1730
Tel: +44 203 195 7121, Fax: +44 203 195 7132
Chief Compliance Officer
ERIK JACKSON
CCO OF FIRST TRUST PORTFOLIOS L.P.
120 E LIBERTY DRIVE
SUITE 400
WHEATON
IL
United States
Tel:
6307658436
Fax:
6305177429
E*******@***************M
(Full email address available in API data)
Regulatory Contact
LIZZIE CHABOT
ASSISTANT GENERAL COUNSEL
8 ANGEL COURT
LONDON
United Kingdom
Tel:
+44 (0) 203 195 7135
L******@****************M
(Full email address available in API data)
Industry Affiliates
| FIRST TRUST ADVISORS LP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FIRST TRUST CAPITAL MANAGEMENT L.P. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| FIRST TRUST CAPITAL PARTNERS LLC | Sponsor or syndicator of limited partnerships |
| FIRST TRUST DIRECT INDEXING | Other investment adviser, including financial planners |
| FIRST TRUST GLOBAL PORTFOLIOS MANAGEMENT LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| FIRST TRUST INVESTMENT SOLUTIONS L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| FIRST TRUST PORTFOLIOS L.P. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerSponsor, GP, manager of pooled investment vehicles |
| STONEBRIDGE ADVISORS LLC | Other investment adviser, including financial planners |
| VEST FINANCIAL LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| VEST SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FIRST TRUST GLOBAL ENTERPRISES L.P. | Domestic Entity | – | SHAREHOLDER | 12/2011 | > 75% |
| CONSILIENCE S.A.R.L | Foreign Entity | – | SHAREHOLDER | 12/2011 | < 5% |
| FULTON, DEREK, NORMAN | Individual | – | CHIEF EXECUTIVE OFFICER | 04/2012 | < 5% |
| BOWEN, JAMES, ALLEN | Individual | – | DIRECTOR | 12/2011 | < 5% |
| ROGGENSACK, ANDREW, SCOTT | Individual | – | DIRECTOR | 12/2011 | < 5% |
| THE CHARGER CORPORATION | Domestic Entity | FIRST TRUST GLOBAL ENTERPRISES L.P. | GENERAL PARTNER | 11/1998 | |
| GRACE PARTNERS OF DUPAGE L.P. | Domestic Entity | FIRST TRUST GLOBAL ENTERPRISES L.P. | LIMITED PARTNER | 11/1998 | > 75% |
| AJM VENTURES LLC | Domestic Entity | THE CHARGER CORPORATION | SHAREHOLDER | 10/2010 | > 75% |
| DURAN, MARTIAL | Individual | CONSILIENCE S.A.R.L. | TRUSTEE | 05/2011 | |
| BOWEN, JAMES, ALLEN | Individual | AJM VENTURES LLC | SOLE SHAREHOLDER | 10/2010 | > 75% |
| FULTON, DEREK, NORMAN | Individual | CONSILIENCE S.A.R.L. | SHAREHOLDER | 05/2011 | 25-50% |
| JACKSON, ERIK, SOREN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2016 | < 5% |
| MCGAREL, DAVID, GERARD | Individual | – | DIRECTOR | 01/2016 | < 5% |
| DACOSTA, LEONARDO, ANTONIO | Individual | – | DIRECTOR | 08/2016 | < 5% |
| THE CHARGER CORPORATION | Domestic Entity | GRACE PARTNERS OF DUPAGE L.P. | GENERAL PARTNER | 08/1991 | |
| Molere, Martin | Individual | CONSILIENCE S.A.R.L | SHAREHOLDER | 04/2021 | 25-50% |