How big is First Trust Portfolios L.P.'s plan?

First Trust Portfolios L.P.'s plan reported $360.3M in assets and 1,090 participants for 2024.

Original filing (PDF)20251014085842NAL0002452113001

First Trust Portfolios L.P.

Name: First Trust Portfolios L.P. — First Trust Portfolios, Form 5500 (2024)
Creator: First Trust Portfolios L.P.
License: https://www.usa.gov/government-works

Form 5500

FILING_RECEIVED

First Trust Portfolios L.P. 401(k) Plan

401(k) retirement plan · First Trust Portfolios L.P.'s First Trust Portfolios L.P. 401(k) Plan held $360.3M in plan assets for 1,090 participants in 2024, with OneAmerica as recordkeeper.

Active participants

1,090

Accounts w/ balance

1,194

Plan assets (EOY)

$360.3M

Net assets (EOY)

$360.3M

People on this filing

Christine Ripsky signed First Trust Portfolios L.P.'s 2024 Form 5500 as plan administrator.

Christine Ripsky — Plan Administrator — Form 5500 signer

Get verified email & phone for these signers

Signer names are public record from the Form 5500 e-signature.

Plan identifiers

First Trust Portfolios L.P.'s EIN is 36-3768815.

EIN 36-3768815

Plan number 001

Plan year 2024

ACK ID 20251014085842NAL0002452113001

Official Form 5500 document

Download the official 2024 Form 5500 (PDF) for First Trust Portfolios L.P. from the U.S. Department of Labor's EFAST2 system.

Download the official 2024 Form 5500 (PDF)

Plan features

First Trust Portfolios L.P.'s plan includes profit-sharing, ERISA 404(c) participant direction, a 401(k) feature, a self-directed brokerage window, automatic enrollment, a default investment (QDIA).

Decision-maker contacts

One unlock reveals every key decision-maker — plan signer, CFO, HR & Benefits — with verified email + LinkedIn for FIRST TRUST PORTFOLIOS L.P..

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How this plan invests

This plan

28 securities

funds · stocks · CUSIPs

Holdings are itemized directly on this plan's Schedule of Assets, below.

Plan health score

Top-tier plan health

Directional indicator from public Form 5500 data — compliance & integrity, total plan cost, participant health and vendor stack, benchmarked against same-size peers. Not a fiduciary tool.

Compliance & integrity

100

Total plan cost

Plan health

Vendor & structure

100

Knocking points off

Low account-holder ratio — balance-holders per active participant in the bottom quartile of peers (23rd percentile).

Helping the score

Below-peer total plan cost (86th percentile).
High average account balance (88th percentile).

Plan sponsor

Name

FIRST TRUST PORTFOLIOS L.P.

EIN

all filings

Address

120 E LIBERTY DRIVE, STE 400 · WHEATON, IL · 60187

Phone

(630) 765-8611

Industry

Finance & Insurance

Plan administrator

Same as plan sponsor.

Plan characteristics

Plan number

001

Plan year

2024

Plan year begin

2024-01-01

Tax period

2024-12-31

Filed

2025-10-14

Pension benefit codes

2E · Profit-sharing

2F · ERISA section 404(c)

2G · Total participant-directed accounts

2J · 401(k) feature

2K · 401(m) arrangement

2R · Participant-directed brokerage (SDBA)

2S · Automatic enrollment

2T · Default investment account (QDIA)

Service providers (Schedule C)

3 rows

Recordkeeper

Name	EIN	Location	Relation	Direct comp	Indirect comp
ONEAMERICA RETIREMENT SERVICES LLC	46-5378846	—	NONE	$40K	—

Other service providers

Name	EIN	Location	Relation	Direct comp	Indirect comp
TD AMERITRADE	—	OMAHA, NE	NONE	$21K	—
MATRIX TRUST COMPANY	75-3182674	—

Investments

28 direct securities· $359.6M(100% of reported assets)

Mutual Funds

$226.0M

21 holdings

Other securities

$114.9M

6 holdings

U.S. Treasuries

$18.7M

1 holding

					% of plan
VANGUARD INSTITUTIONAL INDEX I MUTUAL FUND	Mutual Funds	—	—	$68.9M	19.1%
JANUARY 15, 2025 TO MARCH 31, 2039 INDIVIDUALLY DIRECTED ACCOUNTS IDA ACCOUNTS	Other securities	—	—	$46.5M	12.9%
T. ROWE PRICE GROWTH STOCK MUTUAL FUND	Other securities	—	—	$36.9M	10.2%
DODGE & COX STOCK FUND X MUTUAL FUND	Mutual Funds	—	—	$28.9M	8.0%
VANGUARD BALANCED INDEX I MUTUAL FUND	Mutual Funds	—	—	$20.6M	5.7%
T. ROWE PRICE MID‐CAP GROWTH MUTUAL FUND	Other securities	—	—	$18.7M	5.2%
FEDERATED HERMES US TREAS CASH RES PREM MONEY MARKET FUND	U.S. Treasuries	—	—	$18.7M	5.2%
VANGUARD DEVELOPED MARKETS INDEX INSTL MUTUAL FUND	Mutual Funds	—	—	$11.3M	3.1%
VANGUARD SMALL CAP INDEX I MUTUAL FUND	Mutual Funds	—	—	$11.2M	3.1%
MFS INTERNATIONAL GROWTH FUND R3 MUTUAL FUND	Mutual Funds	—	—	$10.3M	2.9%
PIMCO TOTAL RETURN A MUTUAL FUND	Mutual Funds	—	—	$10.0M	2.8%
VANGUARD MID‐CAP VALUE INDEX ADMIRAL MUTUAL FUND	Mutual Funds	—	—	$9.6M	2.7%
VANGUARD MID CAP INDEX INSTITUTIONAL MUTUAL FUND	Mutual Funds	—	—	$9.5M	2.6%
AMERICAN CENTURY SMALL CAP VALUE R6 MUTUAL FUND	Other securities	—	—	$8.0M	2.2%
VANGUARD TARGET RETIREMENT 2040 INV MUTUAL FUND	Mutual Funds	—	—	$6.7M	1.9%
VANGUARD SMALL CAP GROWTH INDEX I MUTUAL FUND	Mutual Funds	—	—	$6.5M	1.8%
VANGUARD EMERGING MARKETS STOCK INDEX MUTUAL FUND	Mutual Funds	—	—	$5.8M	1.6%
VANGUARD TARGET RETIREMENT 2050 INV MUTUAL FUND	Mutual Funds	—	—	$5.5M	1.5%
VANGUARD SHORT‐TERM FEDERAL ADM MUTUAL FUND	Mutual Funds	—	—	$4.9M	1.4%
FIDELITY ADVISOR EQUITY GROWTH‐CLASS I MUTUAL FUND	Mutual Funds	—	—	$4.4M	1.2%
VANGUARD TARGET RETIREMENT 2030 INV MUTUAL FUND	Mutual Funds	—	—	$3.9M	1.1%
VANGUARD TARGET RETIREMENT 2060 INV MUTUAL FUND	Mutual Funds	—	—	$3.4M	0.9%
VANGUARD HIGH‐YIELD CORPORATE ADM MUTUAL FUND	Mutual Funds	—	—	$3.2M	0.9%
FIRST TRUST SHORT DUR‐I* MUTUAL FUND	Other securities	—	—	$3.0M	0.8%
NOTES TO VARIOUS PARTICIPANTS MATURITY DATE RANGE	Other securities	—	—	$1.8M	0.5%
VANGUARD TARGET RETIREMENT INCOME INV MUTUAL FUND	Mutual Funds	—	—	$624K	0.2%
VANGUARD TARGET RETIREMENT 2070 FUND MUTUAL FUND	Mutual Funds	—	—	$438K	0.1%
VANGUARD TARGET RETIREMENT 2020 INV MUTUAL FUND	Mutual Funds	—	—	$357K	<0.1%