First Trust Global Portfolios Limited (London)

Name: First Trust Global Portfolios Limited
Address: 8 Angel Court, London, Ec2 R 7 Hj
Telephone: +44 203 195 7121

First Trust Global Portfolios Limited is an adviser based in London. It manages $85.48 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2014.

First Trust Global Portfolios Limited provides portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm also engages as us & ucits fund distributor in the united kingdom.

First Trust Global Portfolios Limited: assets under management

The assets under management (AUM) of First Trust Global Portfolios Limited is $85.48 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 223% since the beginning of its operation, and $13.4 million of the total AUM is attributable to clients outside of the United States.

The firm manages $85.48 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $21.37 million each.

Investments

The firm invests in pooled investment vehicles the most. They account for 90% of the total AUM. The second-largest asset type is investment and business development companies, which make up 7% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay First Trust Global Portfolios Limited for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients James Allen Bowen serves?

The firm provides services to insurance companies, investment companies, and pooled investment vehicles. The largest group of clients of James Allen Bowen is investment companies with 2 clients and $72.08 million of assets under management. Among the 4 most similar advisory firms, First Trust Global Portfolios Limited has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $85.48 million for 4 clients. 50% of the firm’s clients are foreign persons or businesses.

First Trust Global Portfolios Limited doesn't advise any private funds.

Careers at First Trust Global Portfolios Limited

The company employs 30 people that are either part- or full-time employees. 10 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

James Allen Bowen has been acting as President since 1 Dec 2011. Leonardo Antonio Dacosta joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
First Trust Global Enterprises L.P.	Shareholder	1 Dec 2011	75% - 100%	36-4272796
Isis Holdings S.A.R.L	Shareholder	1 Dec 2011	25% - 50%	532109972
James Allen Bowen	Director	1 Dec 2011	Other	1123316
Mark Raymond Bradley	Director	1 Dec 2011	Other	1141683
Andrew Scott Roggensack	Director	1 Dec 2011	Other	1582059
Consilience S.A.R.L	Shareholder	1 Dec 2011	Other	532109972
Derek Norman Fulton	Chief executive officer	1 Apr 2012	Other	4883918
Thor Arvid Abrahamsen	Chief compliance officer	1 Apr 2012	Other	6251683
Erik Soren Jackson	Chief compliance officer	1 Jan 2016	Other	2950559
David Gerard Mcgarel	Director	1 Jan 2016	Other	2945880
Leonardo Antonio Dacosta	Director	1 Aug 2016	Other	6776749

Indirect Owners

The SEC currently registers 10 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
The Charger Corporation	General partner	1 Aug 1991	Other	36-3772451
The Charger Corporation	General partner	1 Nov 1998	Other	36-3772451
Grace Partners Of Dupage L.P.	Limited partner	1 Nov 1998	75% - 100%	36-3789110
Ajm Ventures Llc	Shareholder	1 Oct 2010	75% - 100%	80-0647858
James Allen Bowen	Sole shareholder	1 Oct 2010	75% - 100%	1123316
Martial Duran	Shareholder	1 May 2011	Other	6251686
Derek Norman Fulton	Shareholder	1 May 2011	25% - 50%	4883918
Paul Molare	Shareholder	1 May 2011	25% - 50%	6251684
Thor Arvid Abrahamsen	Shareholder	1 May 2011	25% - 50%	6251683
Paul Molere	Shareholder	1 May 2011	25% - 50%	6251684

Based in London

The principal office where First Trust Global Portfolios Limited performs its advisory services is located at 8 Angel Court, London, Ec2 R 7 Hj, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number +44 203 195 7121 or by fax +44 203 195 7132. The normal business hours are 0800-1730 on Monday - Friday. You can find more information about the New York firm at ftglobalportfolios.com and its LinkedIn profile.