Seth Downs is a registered investment advisor at First Trust Advisors LP, based in Austin, TX, with 1 years of industry experience. Seth 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
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.
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Seth owns Downscorp, where he hosts fashion shows and sells clothing, dedicating about 10-20% of his time. He also works at Massanutten Resort selling vacation packages, taking about half of his time. Seth's LPL business operates under the DBA Being Financial, taking about a quarter of his time.
Employment History
Current Registrations
First Trust Portfolios L.P.Broker
First Trust Advisors LP
Previous Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
State Registrations2 states
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