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Steven Ruta

First Trust Advisors LP
10 Years of Experience
Lincroft, NJ
1 DisclosureBroker
View SEC Summary
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Steven Ruta is a registered investment advisor at First Trust Advisors LP, based in Lincroft, NJ, with 10 years of industry experience. Steven 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

Lincroft, NJ

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History

Regulatory History (1)
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Criminal
March 2014
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
First Trust Advisors LP
March 2026 - Present · 7 mos
First Trust Portfolios L.P.
January 2026 - Present · 9 mos
First Trust Portfolios L.P.Broker
January 2026 - Present · 9 mos
Previous Registrations
Neuberger Berman Bd LLCBroker
April 2025 - January 2026 · 9 mos
Neuberger Berman Bd LLC
April 2025 - January 2026 · 9 mos
Transamerica Capital, LLCBroker
March 2024 - March 2025 · 1 yr
Fifth Third Securities, INC.
March 2021 - March 2024 · 3 yrs
Fifth Third Securities, INC.Broker
March 2021 - March 2024 · 3 yrs
Fifth Third Securities, INC.
March 2021 - March 2021 · 0 mos
Chelsea Financial ServicesBroker
February 2021 - February 2021 · 0 mos
Americas Executions, LLCBroker
November 2020 - December 2020 · 1 mo
Lord, Abbett & CO. LLC
February 2016 - June 2020 · 4 yrs 4 mos
Lord Abbett Distributor LLCBroker
July 2015 - June 2020 · 4 yrs 11 mos
Legend Equities CorporationBroker
April 2015 - July 2015 · 3 mos
State Registrations4 states
ILNJNYTX
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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