Alec Swofford is a registered investment advisor at First Trust Advisors LP, based in Austin, TX, with 7 years of industry experience. Alec 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
Fees vary by strategy, ranging from 0.00% to 1.00% annually depending on the specific separately managed account strategy chosen.
Fee Estimator
Location
Ibc Building, 500 West 5th Street, 8th Floor, Austin, TX, 78701
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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
Previous Registrations
Advisors Asset Management, INC.
Advisors Asset Management, INC.Broker
State Registrations2 states
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
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