Michael Mattes
Michael Mattes is a registered investment advisor at First Trust Advisors LP, based in Mount Pleasant, SC, with 11 years of industry experience. Michael 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
Mount Pleasant, SC
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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 →Employment History
Current Registrations
First Trust Advisors LP
First Trust Portfolios L.P.Broker
First Trust Portfolios L.P.
Previous Registrations
Invesco Advisers, INC.
Invesco Distributors, INC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
National Securities CorporationBroker
State Registrations3 states
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