Michael Joseph Mattes

Employer firm

First Trust Advisors LP CRD 107027

$309B regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2014 → 10/2016
  Axa Advisors, Llc
  New York, NY
• 10/2016 → 04/2019
  Invesco Distributors, Inc.
  Downers Grove, IL
• 10/2016 → 04/2019
  Invesco Advisers, Inc.
  Downers Grove, IL
• 04/2019 → Present
  First Trust Portfolios L.P.
  Wheaton, IL
• 04/2019 → Present
  First Trust Advisors L.P.
  Wheaton, IL

Previous Registrations

• 2016-11-09 → 2019-04-24
  Invesco Advisers, Inc.
  Downers Grove, IL
• 2015-06-22 → 2016-10-14
  Equitable Advisors, Llc
  Oak Brook, IL

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-05-05
• S63 Uniform Securities Agent State Law Examination
  2014-06-30