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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 (2014Q2)
Portfolio Summary: 28 Institutional holders with a total value of $18,769,387.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 RiverFront Investment Group, LLC 159,758 5,118,000 27.27%
2 WELLS FARGO & COMPANY/MN 99,572 3,191,000 17.00%
3 SG Americas Securities, LLC 65,614 2,102,000 11.20%
4 BANK OF AMERICA CORP /DE/ 64,334 2,061,000 10.98%
5 MORGAN STANLEY 30,310 971,000 5.17%
6 SUSQUEHANNA INTERNATIONAL GROUP, LLP 25,698 825,000 4.40%
7 RAYMOND JAMES & ASSOCIATES 17,897 573,000 3.05%
8 UBS AG 17,716 567,000 3.02%
9 ROYAL BANK OF CANADA 15,974 512,000 2.73%
10 Cetera Advisors LLC 15,741 505,000 2.69%
11 COMERICA SECURITIES INC 13,565 435,000 2.32%
12 Timber Hill LLC 12,902 413,000 2.20%
13 Janney Montgomery Scott LLC 11,192 358,592 1.91%
14 NAPLES GLOBAL ADVISORS, LLC 9,235 296,000 1.58%
15 One Capital Management, LLC 7,640 245,000 1.31%
16 Virtu KCG Holdings LLC 7,198 231,000 1.23%
17 FIFTH THIRD BANCORP 4,000 128,000 0.68%
18 MYCIO WEALTH PARTNERS, LLC 1,438 46,000 0.25%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,371 44,000 0.23%
20 AMERICAN INTERNATIONAL GROUP, INC. 1,057 33,866 0.18%
21 Camarda Financial Advisors, LLC 1,000 32,000 0.17%
22 Creative Planning 726 23,000 0.12%
23 WFG Advisors, LP 697 22,000 0.12%
24 MSI Financial Services Inc 454 15,000 0.08%
25 D.A. DAVIDSON & CO. 400 12,000 0.06%
26 Waverly Advisors, LLC 227 7,000 0.04%
27 DUBUQUE BANK & TRUST CO 61 2,000 0.01%
28 Archford Capital Strategies, LLC 29 929 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.