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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 (2014Q3)
Portfolio Summary: 25 Institutional holders with a total value of $25,274,874.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 45,553 13,656,000 54.03%
2 WELLS FARGO & COMPANY/MN 78,417 2,351,000 9.30%
3 SUSQUEHANNA INTERNATIONAL GROUP, LLP 63,080 1,891,000 7.48%
4 BANK OF AMERICA CORP /DE/ 62,240 1,866,000 7.38%
5 SG Americas Securities, LLC 51,314 1,538,000 6.09%
6 MORGAN STANLEY 31,611 947,000 3.75%
7 Timber Hill LLC 16,990 509,000 2.01%
8 ROYAL BANK OF CANADA 16,641 499,000 1.97%
9 Cetera Advisors LLC 15,111 450,000 1.78%
10 COMERICA SECURITIES INC 13,578 407,000 1.61%
11 UBS AG 10,823 325,000 1.29%
12 NAPLES GLOBAL ADVISORS, LLC 9,235 277,000 1.10%
13 One Capital Management, LLC 7,641 229,000 0.91%
14 FIFTH THIRD BANCORP 4,000 120,000 0.47%
15 MYCIO WEALTH PARTNERS, LLC 1,441 43,000 0.17%
16 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,371 41,000 0.16%
17 Camarda Financial Advisors, LLC 1,000 30,000 0.12%
18 Creative Planning 883 26,000 0.10%
19 WFG Advisors, LP 697 21,000 0.08%
20 MSI Financial Services Inc 454 14,000 0.06%
21 Waverly Advisors, LLC 402 12,000 0.05%
22 D.A. DAVIDSON & CO. 400 11,000 0.04%
23 AMERICAN INTERNATIONAL GROUP, INC. 296 8,874 0.04%
24 DUBUQUE BANK & TRUST CO 110 3,000 0.01%
25 Archford Capital Strategies, LLC 0 0 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.