Eric Daley is a registered investment advisor at First Trust Advisors LP, based in Wheaton, IL, with 26 years of industry experience. Eric operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 5,033 clients with $260B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
First Trust Advisors (FTA) provides investment advice through separately managed accounts (SMAs). The fees for these services are listed in the FTA Fee Schedule. These fees do not include custody, trade execution, or other account service fees. Clients may also indirectly bear the expenses of funds their SMAs invest in. The advisory fees are assessed quarterly, generally in advance, but may be assessed in arrears for certain wrap programs. Refunds are prorated if an SMA is closed before the end of a quarter, but may not be refunded if closed in the last 30 days of a quarter.
Location
120 E. Liberty Drive, Suite 400, Wheaton, IL, 60187
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Eric is an investor in BD Adventures, LLC, a restaurant under renovation. He dedicates minimal time to this investment-related activity.
Employment History
Current Registrations
First Trust Advisors LP
First Trust Portfolios L.P.
First Trust Portfolios L.P.Broker
Previous Registrations
Putnam Investment Management, LLC
Putnam Retail Management Limited PartnershipBroker
Franklin/templeton Distributors, INC.Broker
Donaldson, Lufkin & Jenrette Securities CorporationBroker
Lehman Brothers INC.Broker
John Hancock Funds, INC.Broker
State Registrations2 states
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