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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 (2014Q4)
Portfolio Summary: 28 Institutional holders with a total value of $39,217,836.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BB&T SECURITIES, LLC 84,057 28,066,000 71.56%
2 Frontier Wealth Management LLC 103,484 3,455,000 8.81%
3 WELLS FARGO & COMPANY/MN 70,583 2,356,000 6.01%
4 MORGAN STANLEY 59,717 1,994,000 5.08%
5 COMERICA SECURITIES INC 12,838 429,000 1.09%
6 Timber Hill LLC 12,022 401,000 1.02%
7 UBS Group AG 10,408 348,000 0.89%
8 BANK OF AMERICA CORP /DE/ 9,923 331,000 0.84%
9 NAPLES GLOBAL ADVISORS, LLC 9,235 308,000 0.79%
10 One Capital Management, LLC 9,193 307,000 0.78%
11 SUSQUEHANNA INTERNATIONAL GROUP, LLP 6,990 233,000 0.59%
12 Cetera Advisors LLC 6,841 227,000 0.58%
13 Chicago Partners Investment Group LLC 6,133 205,000 0.52%
14 FIFTH THIRD BANCORP 4,000 134,000 0.34%
15 NATIONAL PLANNING CORP 2,375 75,953 0.19%
16 Creative Planning 1,980 66,000 0.17%
17 ROYAL BANK OF CANADA 1,805 60,000 0.15%
18 MYCIO WEALTH PARTNERS, LLC 1,443 48,000 0.12%
19 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,315 44,000 0.11%
20 WFG Advisors, LP 1,297 43,000 0.11%
21 Camarda Financial Advisors, LLC 1,000 33,000 0.08%
22 D.A. DAVIDSON & CO. 400 13,000 0.03%
23 MSI Financial Services Inc 389 13,000 0.03%
24 Waverly Advisors, LLC 402 13,000 0.03%
25 AMERICAN INTERNATIONAL GROUP, INC. 296 9,883 0.03%
26 DUBUQUE BANK & TRUST CO 110 4,000 0.01%
27 Tower Research Capital LLC (TRC) 44 1,000 0.00%
28 Parallax Volatility Advisers, L.P. 1 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.