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FIRST TRUST DOW JONES SELECT MICROCAP INDEX FUND
FIRST TRUST DOW JONES SELECT MICROCAP INDEX FUND. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 31 Institutional holders with a total value of $50,681,498.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 RiverFront Investment Group, LLC 824,361 26,693,000 52.67%
2 BB&T SECURITIES, LLC 23,045 7,461,000 14.72%
3 RAYMOND JAMES & ASSOCIATES 127,852 4,140,000 8.17%
4 WELLS FARGO & COMPANY/MN 70,495 2,283,000 4.50%
5 SUSQUEHANNA INTERNATIONAL GROUP, LLP 65,985 2,137,000 4.22%
6 BANK OF AMERICA CORP /DE/ 61,231 1,983,000 3.91%
7 Camelot Portfolios, LLC 30,633 992,000 1.96%
8 MORGAN STANLEY 28,984 938,000 1.85%
9 ROYAL BANK OF CANADA 18,258 592,000 1.17%
10 Cetera Advisors LLC 16,441 533,000 1.05%
11 Placemark Investments, Inc. 15,928 516,000 1.02%
12 UBS AG 13,604 441,000 0.87%
13 COMERICA SECURITIES INC 11,807 382,000 0.75%
14 Janney Montgomery Scott LLC 10,379 336,072 0.66%
15 NAPLES GLOBAL ADVISORS, LLC 9,235 299,000 0.59%
16 One Capital Management, LLC 7,853 254,000 0.50%
17 Virtu KCG Holdings LLC 7,232 234,000 0.46%
18 FIFTH THIRD BANCORP 4,000 130,000 0.26%
19 ENVESTNET ASSET MANAGEMENT INC 1,628 53,000 0.10%
20 MYCIO WEALTH PARTNERS, LLC 1,530 50,000 0.10%
21 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,493 49,000 0.10%
22 AMERICAN INTERNATIONAL GROUP, INC. 1,343 43,487 0.09%
23 Camarda Financial Advisors, LLC 1,000 32,000 0.06%
24 Tower Research Capital LLC (TRC) 847 27,000 0.05%
25 WFG Advisors, LP 697 23,000 0.05%
26 PRIVATE TRUST CO NA 600 19,000 0.04%
27 MSI Financial Services Inc 454 15,000 0.03%
28 D.A. DAVIDSON & CO. 400 12,000 0.02%
29 Creative Planning 348 11,000 0.02%
30 DUBUQUE BANK & TRUST CO 61 2,000 0.00%
31 Archford Capital Strategies, LLC 29 939 0.00%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.