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ChFC

Brian Pawlowicz

First Trust Advisors LP
25 Years of Experience
Naples, FL
Broker
View SEC Summary
View SEC Summary

Brian Pawlowicz is a ChFC-designated registered investment advisor at First Trust Advisors LP, based in Naples, FL, with 25 years of industry experience. Brian is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Socially Responsible Investing. Their firm serves 5,731 clients with $310B in assets under management.

First Trust Advisors LP
Compensation
Fee-Only (% of Portfolio)
Firm Size
607 advisors
Number of Clients
5,731 clients
Average Client Portfolio
$54.0M average
Assets Under Management
$309.2B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Fees vary by strategy, ranging from 0.00% to 1.00% annually depending on the specific separately managed account strategy chosen.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Naples, FL

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History

Regulatory History
Clean regulatory record

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.

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Other Business Activities

Brian is a passive investor in Smoke Daddy, a BBQ restaurant, and rental property. He dedicates minimal time to these activities, which are not investment-related.

Employment History
Current Registrations
First Trust Advisors LP
July 2023 - Present · 3 yrs 3 mos
First Trust Portfolios L.P.
March 2022 - Present · 4 yrs 7 mos
First Trust Portfolios L.P.Broker
March 2022 - Present · 4 yrs 7 mos
Previous Registrations
Foreside Fund Services, LLCBroker
January 2016 - March 2022 · 6 yrs 2 mos
Quasar Distributors, LLCBroker
February 2011 - December 2015 · 4 yrs 10 mos
Altegris Investments, INC.Broker
September 2009 - April 2010 · 7 mos
Alps Distributors, INC.Broker
June 2009 - September 2009 · 3 mos
Quasar Distributors, LLCBroker
October 2004 - June 2009 · 4 yrs 8 mos
Bisys Fund Services Limited PartnershipBroker
February 2002 - September 2004 · 2 yrs 7 mos
Ws Griffith Securities, INC.Broker
January 2002 - January 2002 · 0 mos
Cna Investor Services, INC.Broker
July 2001 - December 2001 · 5 mos
American Express Financial Advisors INC.Broker
September 1998 - October 1999 · 1 yr 1 mo
Ids Life Insurance CompanyBroker
September 1998 - October 1999 · 1 yr 1 mo
State Registrations12 states
ALARFLGAILLAMSOKPRSCTNTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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